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Date 23/01/2013
SEC To Hold National Compliance Event For Broker-Dealers
The Securities and Exchange Commission today announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9.
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Date 23/01/2013
NASDAQ OMX Hosts 8th Annual Opening Bell From The World Economic Forum Annual Meeting In Davos, Switzerland
The NASDAQ OMX Group, Inc. will open its market remotely from Davos, Switzerland at the World Economic Forum Annual Meeting. On Thursday, January 24th, NASDAQ OMX Chief Executive Officer, Bob Greifeld, and Executive Vice President, Bruce Aust, will participate in the market open along with NASDAQ OMX officials and more than 25 invited companies. This is the eighth market open that NASDAQ OMX has held remotely from Davos.
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Date 23/01/2013
NASDAQ OMX Chosen To Power New East Africa Exchange
The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today announced that it has been selected as the technology partner for a new exchange, East Africa Exchange. NASDAQ OMX will deliver its widely deployed X-stream technology to power trading and clearing for the nascent exchange.
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Date 23/01/2013
FINRA Seeks A Cease-And-Desist Order Against Westor Capital Group And Its President For Misappropriation And Misuse Of Customer Funds And Securities - FINRA Also Files Complaint Charging Westor And President
The Financial Industry Regulatory Authority (FINRA) announced today that it has filed for a Temporary Cease-and-Desist Order (TCDO) against Herkimer, NY-based Westor Capital Group, Inc. and its President, Chief Compliance Officer and Financial and Operations Principal, Richard Hans Bach, to immediately stop the further misappropriation and misuse of customer funds and securities. FINRA is seeking the TCDO to prevent further customer harm that would likely continue before a formal disciplinary proceeding against Westor and Bach could be completed.
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Date 23/01/2013
NASDAQ OMX NLX Selects Equinix - New NASDAQ OMX NLX Interest Rate Derivatives Market To Leverage Mature Financial Services Ecosystem
Equinix, Inc. (Nasdaq: EQIX), the globalinterconnection and data center company, has been selected by NASDAQ OMX NLX (“NLX”) to host the new market from Equinix’s London, Slough LD4/LD5 International Business Exchange™ (IBX®) data center campus. NLX will offer short-term and long-term interest rate euro- and sterling-based listed derivative products, pending Financial Services Authority approval.
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Date 23/01/2013
Banque Internationale À Luxembourg (BIL) Selects Systar’s Process Performance For SWIFT Application To Monitor SWIFT Messages Flows And Ensure Optimal Customer Experience
Systar (ISIN: FR0000052854-SAR), a leading provider of Operational Intelligence software, today announced that Banque Internationale à Luxembourg (BIL) has chosen its financial message monitoring application, Process Performance for SWIFT, to improve client experience, achieve operational excellence and reduce operational risk within the SWIFT messaging platform.
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Date 23/01/2013
World Economic Forum: Bankers Call For Better - Not More - Regulation
- Leaders of financial institutions disagree over whether the sector is still too complex and opaque
- Financial institutions must take risks to fuel economic growth, but these risks must be managed
- Regulation is needed, but global regulation may be a challenge in today’s rapidly changing, multipolar world
- The theme of the 43rd World Economic Forum Annual Meeting is Resilient Dynamism. For more information, visit http://wef.ch/Davos
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Date 23/01/2013
CME Group Announces 2013 Annual Meeting Date
CME Group (Nasdaq: CME) today announced that its 2013 Annual Meeting of Shareholders will be held at 3:30 p.m., Central Time, on Wednesday, May 22, 2013, in the Auditorium at CME Group, located at 20 South Wacker Drive, Chicago, Illinois.
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Date 23/01/2013
Direct Edge Trading Notice #13-05: Limit Up-Limit Down And Market-Wide Circuit Breaker Test - Saturday January 26th
In coordination with other exchanges and market participants, Direct Edge® will participate in industry –wide testing for Limit Up-Limit Down (LULD) and Market Wide Circuit Breaker (MWCB) functionality on Saturday, January 26, 2013.
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Date 23/01/2013
NICE Actimize Selected As A “Best-In-Class” Vendor In Three Categories In - Analyst Firm’s 2012 Enterprise Fraud Management Report - CEB Towergroup Named NICE Actimize A “Best-In-Class” Vendor For Fraud Detection, Workflow Management And Business Process Improvement
NICE Actimize, a NICE Systems (NASDAQ:NICE) company and the largest and broadest provider of a single financial crime, risk and compliance software platform for the financial services industry, announced that its Actimize Integrated Fraud Management Suite was selected as a “Best-in-Class” vendor across three categories in the CEB TowerGroup “2012 Enterprise Fraud Management Technology Analysis” research report. NICE Actimize received its rankings based on the five-point rating system for each of the 22 fraud-related attributes identified in the report’s proprietary Enterprise Fraud Systems anatomy.
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