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BME: Openfinance Celebrates Its 15th Anniversary - Leading Supplier Of Technological Solutions For Financial Advice

Date 13/07/2017

Openfinance, BME's fintech subsidiary, celebrates its 15th anniversary today as a leading specialist in the development and maintenance of innovative technological solutions for financial advice and portfolio management. The company, based in Valencia, was created in 2002, and since then it has gradually consolidated its strategy in the development of integrated solutions, providing its customers with assistance in the development of integral solutions for the implementation and maintenance of technological solutions for financial advice and portfolio management.
MIAX Options & MIAX PEARL - Reg SCI / SIFMA BCP Test Day Plan - October 14, 2017

Date 13/07/2017

The MIAX Exchanges will be participating in the 2017 SIFMA BCP Testing on Saturday, October 14, 2017. All members that are required to test with MIAX Options and/or MIAX PEARL Exchanges in accordance with Regulation Systems Compliance and Integrity (Regulation SCI) have been notified, however, all members are encouraged to test.
CISI Announces Financial Planning Team Developments

Date 13/07/2017

The Chartered Institute for Securities & Investment (CISI) has announced that Campbell Edgar CFPTM Chartered FCSI will be retiring as an employee of the Institute effective October 2017. He will continue to be involved in some CISI financial planning technical projects.
Vela To Acquire Object Trading Complementing Its Recent Acquisition Of OptionsCity - Acquisition Enables Vela To Offer A Comprehensive Software And Managed Services Solution Across The Entire Electronic Trading Workflow

Date 13/07/2017

Vela Trading Technologies LLC (Vela), an award-winning global leader in high performance trading, market data, and analytics technology, has signed a definitive agreement to acquire Object Trading, a global provider of a fully-managed Direct Market Access (DMA) platform, pre-trade risk controls, and analytics applications.
Keri Carter Appointed Second Vice Chair To CISI IFP Forum Committee

Date 13/07/2017

The Chartered Institute for Securities & Investment (CISI) is delighted to announce that Keri CarterCFPTM, Chartered MCSI, Chartered Wealth Manager and Managing Director of Broadway Financial Planning has been appointed as second vice chair to the CISI IFP Forum Committee and will also head up the Accredited Financial Planning Firms steering group.

Hong Kong's Securities And Futures Commission Intervenes Directly And At Early Stage In Serious Corporate Cases

Date 13/07/2017

The Securities and Futures Commission (SFC) today published the first issue of its SFC Regulatory Bulletin: Listed Corporations. This series of bulletins provides guidance on the manner in which the SFC performs some of its functions under the Securities and Futures (Stock Market Listing) Rules (SMLR) and the Securities and Futures Ordinance (SFO) in relation to listed corporations and other listing matters.
ESMA Consults On Certain Aspects Of The MiFID II Suitability Requirements

Date 13/07/2017

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on draft guidelines on certain aspects of the suitability requirements under the Markets in Financial Instruments Directive (MiFID II).
New Speech By Ashley Alder, Chief Executive Officer, Hong Kong's Securities And Futures Commission: Speech At HKSI Luncheon

Date 13/07/2017

A speech entitled "Front Loaded, Transparent and Direct: A New Approach to Regulation for Changing Markets" delivered by Mr Ashley Alder on 13 July 2017 was posted on the SFC website today.
ATON And Alfa Capital Management Conclude First Transactions Using NSD’s Instruction Prioritization And Linked Transactions Services

Date 13/07/2017

National Settlement Depository (NSD), Russia’s central securities depository, has successfully settled the first transactions using its two new services – Linked Transactions and Instruction Prioritization. ATON and Alfa-Capital Management Company, leaders in the Russian stock market*, have become the first companies to use these services.
ESMA Issues Sector-Specific Principles On Relocations From The UK To The EU27

Date 13/07/2017

The European Securities and Markets Authority (ESMA) has published three Opinions setting out sector-specific principles in the areas of investment firms, investment management and secondary markets, aimed at fostering consistency in authorisation, supervision and enforcement related to the relocation of entities, activities and functions from the United Kingdom.