TMX Group volumes report
January 31, 2017 BY Valentina Kirilova

TMX Group names Alison Simpson Senior Vice President, Marketing and Branding

TMX Group Limited (TSX:X) announced that Alison Simpson has been named Senior Vice President, Marketing and Branding, effective February 13, 2017. In this newly-created role, Ms. Simpson will be responsible for building TMX's marketing strategy with a focus on enhancing the company's presence and impact across the full spectrum of available channels, including digital, mobile…

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January 31, 2017 BY Valentina Kirilova

Federal Court dismisses finance broker's appeal

The Federal Court of Australia has dismissed an appeal brought by former Victorian finance broker Meenakshi Devi Callychurn, against her banning from engaging in credit activities and the cancellation of the Australian credit licence of her company Unique Mortgage Services Pty Ltd (UMS). ASIC banned Ms Callychurn in March 2015 from engaging in credit activities…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
January 31, 2017 BY Valentina Kirilova

OCIE Director Marc Wyatt leaves SEC next month

The Securities and Exchange Commission (SEC) announced another Director is leaving next month and that is Marc Wyatt, Director of the Office of Compliance Inspections and Examinations. Mr. Wyatt joined the SEC in December 2012 as a senior specialized examiner and co-founded the Private Fund Unit within OCIE. He was named Deputy Director in October…

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Nasdaq
January 31, 2017 BY Valentina Kirilova

J.B. Hunt Transport Services, Inc. joins the NASDAQ-100 Index

Nasdaq (Nasdaq:NDAQ) just announced that J.B. Hunt Transport Services, Inc. (Nasdaq:JBHT), will become a component of the NASDAQ-100 Index® (Nasdaq:NDX) and the NASDAQ-100 Equal Weighted Index (Nasdaq:NDXE) prior to market open on Tuesday, February 7, 2017. J.B. Hunt Transport Services, Inc. will replace NXP Semiconductors N.V. (Nasdaq:NXPI) in the indexes. J.B. Hunt Transport Services, Inc.…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
January 31, 2017 BY Valentina Kirilova

Associate Director in the Division of Trading and Markets, Wenchi Hu, leaves SEC

The Securities and Exchange Commission announced that Wenchi Hu, an Associate Director in the Division of Trading and Markets, will leave the agency in early February. Ms. Hu has headed the division's Office of Clearance and Settlement Supervision since August 2015, after serving three months as its Acting Associate Director. The office oversees registered clearing…

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January 31, 2017 BY Valentina Kirilova

OSC warns: Kevin O’Leary falsely linked to binary options trading platforms and software

The Ontario Securities Commission (OSC) warned investors about advertisements using the image or likeness of Canadian businessman and television and radio personality Kevin O’Leary to promote “get rich” schemes using certain binary options trading software and platforms. OSC Staff have communicated with representatives of Kevin O'Leary and confirmed that he has not approved the use…

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January 31, 2017 BY Valentina Kirilova

FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

The Financial Conduct Authority (FCA) has fined Deutsche Bank AG £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December 2015. This is the largest financial penalty for AML controls failings ever imposed by the FCA, or its predecessor the Financial Services Authority…

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January 30, 2017 BY admin

Chatham Financial launches new FX and international payments services

Chatham Financial, a global provider of debt and derivatives solutions, has today unveiled a new suite of FX and International Payments (FXIP) services within its Financial Institutions practice. Designed to assist community and regional financial institutions (FIs) in assessing needs, minimizing costs, and optimizing processes, the new FXIP services are the latest offering in Chatham…

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