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Date 18/11/2009
FINRA Fines Metlife Securities And Affiliates $1.2 Million For Email Supervision Failures - Investigation Of Broker Misconduct Continuing
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public. The fine also resolves charges of failing to establish adequate supervisory procedures relating to broker participation in outside business activities and private securities transactions.
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Date 18/11/2009
Barclays Bank PLC Lists Five New Long And Short Exchange Traded Notes (ETNs) Linked To S&P Indices On NYSE Arca
NYSE Euronext (NYX) announced that its wholly-owned subsidiary, NYSE Arca, today began trading five new ETNs linked to the performance of the S&P 500® Total Return IndexSM. The ETNs are issued by Barclays Bank PLC.
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Date 18/11/2009
First Automated Processing Service Available For UK funds
Euroclear UK & Ireland and EMXCo are eradicating the time-consuming, inefficient and unnecessarily expensive process of settling UK fund transactions. According to the HM Treasury, the UK funds industry could save GBP 70- 290 million per year by embracing processing automation in place of paper-based fund unit settlement. This potential saving is now a reality. Together, EMXCo and Euroclear have launched a fully electronic and integrated order routing and settlement solution for UK fund tran
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Date 18/11/2009
Testimony Of Gary Gensler, Chairman, Commodity Futures Trading Commission Before The Senate Committee On Agriculture, November 18, 2009
Good morning Chairman Lincoln, Ranking Member Chambliss and members of the Committee. Thank you for inviting me to testify today regarding the regulation of over-the-counter derivatives. I also will provide this Committee with an update on our joint efforts with the Securities and Exchange Commission (SEC) to tailor our regulations in the best interest of the American public. I am pleased to testify on behalf of the Commodity Futures Trading Commission (CFTC).
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Date 18/11/2009
London Stock Exchange To Launch New Retail Bond Market For The UK
The London Stock Exchange today announces that it will introduce a new order-driven trading service for bonds. This new electronic order book will be available for a select number of gilts and UK corporate bonds and will offer private investors with an on-screen secondary market in London-listed debt securities for the first time. This new service is expected to go live in February next year.
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Date 18/11/2009
UNX Appoints Thomas Kim As CEO And Secures Funding For Strategic Growth - Funding Led By Goldman, Sachs & Co. And Vernon & Park Capital
UNX LLC, a leading provider of innovative trading technology solutions, has appointed Thomas Kim as Chief Executive Officer. It also has secured funding from Goldman, Sachs & Co. and Vernon & Park Capital along with some of its current investors.* *Financial Technology Partners LP and FTP Securities LLC acted as financial advisors
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Date 18/11/2009
NASDAQ OMX To Provide Customers With Independent Latency Measurement Service By Correlix - Selects Correlix RaceTeam Service For Real-Time Information On Trading And Data Speed
The NASDAQ OMX Group (Nasdaq:NDAQ) announced today that it has selected Correlix Inc. to provide real-time latency insight to its customers. The service will allow NASDAQ OMX customers access to independent real-time latency measurement information for intraday and post-day analytics.
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Date 18/11/2009
Insurance Companies, Pension Funds And The New EU Supervisory Architecture - Speech By Jean-Claude Trichet, President Of The European Central Bank At The CEIOPS Conference 2009, Frankfurt am Main, 18 November 2009
Ladies and Gentlemen, All financial gatherings in our current circumstances are important occasions to reflect on the past and future of finance.
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Date 18/11/2009
Chi-East To Appoint LCH.Clearnet As Central Clearing Facility
Chi-East, a joint venture of Chi-X® Global Inc. and Singapore Exchange Limited (SGX), and LCH.Clearnet Limited (LCH.Clearnet) announced today that Chi-East will appoint LCH.Clearnet as the central clearing facility for its pan-Asian, non-displayed trading platform, scheduled to launch in mid-2010.
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Date 18/11/2009
PLUS Primary Market Sees Continued Growth - October Is Another Active Month For The PLUS Stock Exchange
The PLUS stock exchange has announced its October primary market figures which show continuing growth in admissions and company applications and further M&A activity.
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