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  • TMX Group Announces Election Of Directors

    Date 11/05/2016

    TMX Group today announced that the nominees listed in the management proxy circular for the 2016 Annual and Special Meeting of Shareholders were elected as directors of TMX Group Limited.

  • FINRA Fines Stephens Inc. $900,000 For Inadequate Supervision Of Research Department "Flash" Emails

    Date 11/05/2016

    The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising firm-wide internal "flash" emails sent by its research analysts to convey information about companies and industries the firm covered. These failures created the risk that the flash emails could potentially include material nonpublic information that might be misused by sales and trading personnel. Stephens will also cease distributing flash emails and was ordered to implement a plan to conduct a comprehensive review of its policies, procedures and training in the research area.

  • Assets Invested In ETFs/ETPs Listed In The United States Reached A New Record High Of 2.217 Trillion US Dollars At The End Of April 2016, According To ETFGI

    Date 11/05/2016

    Assets invested in ETFs/ETPs listed in the United States reached a new record high of US$2.217 trillion at the end of April 2016, according to preliminary data from ETFGI’s April 2016 global ETF and ETP industry insights report. (click here to view the ETFGI chart for asset growth).

  • Credit Suisse & AxiomSL Win Compliance Risk Technology Implementation Of The Year Award 2016

    Date 11/05/2016

    • AxiomSL’s Asia-Pacific liquidity programme implemented across three countries in nine months enhanced time to market and operational efficiencies for the bank
    • AxiomSL’s single strategic platform allowed Credit Suisse scalability to meet multiple cross-jurisdictional regulatory reporting requirements with greater speed and accuracy whilst leveraging existing data architecture
    • AxiomSL’s technologies also delivered Liquidity Coverage Ratio forecasting capabilities providing treasury with improved internal liquidity monitoring and reporting efficiencies

  • Martin Blessing To Join Group Executive Board Of UBS - Blessing To Assume Role As President Personal & Corporate Banking And President UBS Switzerland From Lukas Gaehwiler - Gaehwiler To Assume New Role As Chairman Of The Region Switzerland Changes Effective 1 September 2016

    Date 11/05/2016

    Martin Blessing will succeed Lukas Gaehwiler as President Personal & Corporate Banking and President UBS Switzerland in the Group Executive Board (GEB) of UBS, effective 1 September 2016. Blessing was CEO of Commerzbank AG until the end of April this year. During his 15 years on the Board of Managing Directors of Commerzbank, half of which as its Chairman, Blessing significantly shaped the firm. He managed the successful integration of Dresdner Bank and led the bank back to stability and a robust business model following the financial crisis. Today, Commerzbank is active in more than 50 countries, finances 30 percent of Germany’s foreign trade and is the undisputed leader in financing German SMEs. The firm serves around 15 million clients with over 50,000 employees. Prior to Commerzbank, Blessing was at Dresdner Bank and the consultancy McKinsey. He studied in St. Gallen, Switzerland, and Frankfurt am Main, Germany, following a bank apprenticeship.

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