FTSE Mondo Visione Exchanges Index:
News Centre
-
Date 04/06/2014
FINRA Fines Barclays Capital, Goldman Sachs And Merrill Lynch $1 Million Each For Submitting Inaccurate Blue Sheet Data - Disciplinary Complaint Issued Against Wedbush Securities
The Financial Industry Regulatory Authority (FINRA) today announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as "blue sheet" data, to FINRA, the SEC and other regulators. In addition, FINRA issued a complaint against Wedbush Securities, Inc., for failing to submit complete and accurate blue sheets.
-
Date 04/06/2014
Statement On 2nd Circuit Decision, Andrew Ceresney, Director, SEC Division Of Enforcement
"We are pleased with today’s ruling by the Second Circuit Court of Appeals reaffirming the significant deference accorded to the SEC in determining whether to settle with parties and on what terms. While the SEC has and will continue to seek admissions in appropriate cases, settlements without admissions also enable regulatory agencies to serve the public interest by returning money to harmed investors more quickly, without the uncertainty and delay from litigation and without the need to expend additional agency resources."
-
Date 04/06/2014
PGE Dom Maklerski Starts Trading On WSE - PGE Dom Maklerski Is The 58th Exchange Member
On 4 June 2014, PGE Dom Maklerski S.A. started operations on Warsaw Stock Exchange as an Exchange Member. PGE DM will trade in securities on clients’ accounts on WSE.
-
Date 04/06/2014
TheCityUK Responds To The Queen’s Speech
Nicky Edwards, Director of Policy and Public Affairs, comments on announcements in today’s Queen’s Speech regarding pensions, infrastructure and businesses investment:
Pensions
“The reforms to pensions laid out in the Queen’s Speech will give people in the UK greater choice in how their pension savings can be used to support them in retirement. While innovation in the pensions market is important, people will also need to save more during their working life to ensure a decent income in later life. Increasing the rate of contribution to auto-enrolment pensions is therefore vital.”
-
Date 04/06/2014
ADX Concludes Investor Roadshow In London
Abu Dhabi Securities Exchange (ADX) concluded yesterday its second roadshow of the year from 2nd - 4th of June with a delegation to London comprising 60 senior representatives of asset management and investment management companies that manage assets with an estimated value of 45 billion dollars. The aim of the visit was to engage with potential new investors, fund managers, asset management and investment management companies, as well as high end investors to demonstrate the range of opportunities, as well as to provide an insight into the operations and future development of ADX. Sheikh Mohammed bin Maktoum bin Rashid Al-Maktoum, First Secretary at the UAE Embassy in London, gave an opening speech at the beginning of the roadshow which was held at the Grosvenor House Hotel in London.
-
Date 04/06/2014
JonesTrading Names Micsky Global Derivatives Head - Commitment To Expanded Trading Rounds Out Asset Suite
JonesTrading Institutional Services LLC, a leading block trading firm in U.S. and international securities for institutions, announced today that Jeff Micsky, a JonesTrading veteran and derivatives trading expert, has been named to Global Derivatives Head. He will develop the strategy for derivatives, including organic growth among current clients and business development to expand the client base worldwide. He leads a team in JonesTrading’s New York, Greenwich, San Francisco and Chicago offices, with an affiliate relationship to JonesTrading Canada.
-
Date 04/06/2014
Federal Bank Regulatory Agencies Seek Comment On Interagency Effort To Reduce Regulatory Burden
The federal bank regulatory agencies today published the first of a series of requests for comments to identify outdated, unnecessary, or unduly burdensome regulations imposed on insured depository institutions.
-
Date 04/06/2014
ACER Invites Stakeholders To Provide Input For The Agency’s 2015 Work Programme
Alberto Pototschnig, Director of the EU Agency for the Cooperation of Energy Regulators, presented today the draft Work Programme of the Agency for 2015 at a public workshop held in Ljubljana. The Director invited all interested parties to express their views and share their opinions on which areas the Agency should focus its effort on next year.
-
Date 04/06/2014
Ljubljana Stock Exchange: Monthly Statistical Report For May 2014
Click here to download Ljubljana Stock Exchange's monthly statistical report for May 2014.
-
Date 04/06/2014
Rule Financial Posts Record Revenues Powered By Global Expansion - Business And IT Consultancy Increases Year-On-Year Revenues By 23%, Opens New Development Centres In Poland And Costa Rica, And Expands Rapidly In North America
Rule Financial, an independent provider of business consultancy, IT consultancy and IT services to the global investment banking community, today announces record annual revenues of £48.2m. The year-on-year growth of 23% has been driven by a surge in demand amongst sellside and buyside firms for business and IT change projects to comply with the raft of global regulation impacting Capital Markets.
- First
- Previous
- 10467
- 10468
- 10469
- 10470
- 10471
- 10472
- 10473
- 10474
- 10475
- 10476
- 10477
- 10478
- 10479
- 10480
- 10481
- 10482
- 10483
- Next
- Last