I-Bytes Financial Services industry

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I-Bytes
Financial Services
October Edition 2020
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Table of Contents
1. Financial, M & A Updates...................................................................................................................................1
2. Solution Updates.................................................................................................................................................22
3. Rewards and Recognition Updates...................................................................................................................31
4. Customer Success Updates................................................................................................................................44
5. Partnership Ecosystem Updates.......................................................................................................................50
6. Environment & Social.......................................................................................................................................57
7. Miscellaneous Updates......................................................................................................................................59

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Financial, M & A
Updates Financial Services Industry

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Financial, M&A Updates
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3i (UK) invests in GartenHaus to build the leading European platform for home and
garden projects
3i Group plc (“3i Group”) announces that it has agreed to invest c. £60m for a majority stake
in A-Z Gartenhaus GmbH, an online leader in garden homes, sheds, saunas, and related
products in the DACH region. As part of the transaction, GartenHaus’management team and
board will also invest to become shareholders in the business. GartenHaus offers garden
houses, sheds, carports, terraces, saunas and other, often bulky, garden and home related
products with garden houses being its core product category. The company focuses on the
high-quality, mid-to-upper priced segment of the market and differentiates itself through
product development, excellent customer service and the management of complex logistics
to deliver and assemble its products which weigh on average more than 1,000 kg.
GartenHaus, headquartered in Hamburg, Germany, was founded in 2002 and is a pure
eCommerce player. With the launch of its first online shop in 2009, GartenHaus has been the
pioneer in selling garden homes directly to consumers. With around 75 employees, the
company combines specialist trade product know-how with digital competence and offers a
one-stop shop for customers, from planning to realisation and maintenance of garden and
home projects. The company benefits from direct interaction with its customers along the
complete project journey with a high level of SEO website traffic as a result of its strong
content. Driven by a further shift towards online and the increasing popularity of gardening
and leisure trends, the relevant home and garden market is expected to grow by more than 10
percent per year going forward while online penetration is expected to double by 2025.
Executive Commentary
Partner, 3i, commented: “For us, GartenHaus is a highly attractive investment
opportunity. It is a niche market player with strong digital capabilities which is
benefitting from the shift to online. We see GartenHaus as a nucleus to establish the
online champion for home and garden projects across Europe. The key focus is to expand
the product range into adjacent categories, as well as to internationalise the business by
expanding into neighbouring countries such as the UK, France, Scandinavia and the
Netherlands which have fragmented markets and similar product trends.”
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Ameriprise Financial (USA) Announces Additional $2.5 Billion Share Repurchase Authorization
The Board of Directors of Ameriprise Financial, Inc. has authorized an additional $2.5 billion for the repurchase of shares of its common stock
through September 30, 2022. As of June 30, 2020, the company had approximately $500 million available from its February 2019 authorization,
which is available through March 31, 2021. The company intends to fund share repurchases through existing working capital, future earnings and
other customary financing methods. The share repurchase program does not require the purchase of any minimum number of shares, and
depending on market conditions and other factors, these purchases may be commenced or suspended at any time without prior notice.
Acquisitions under the share repurchase program may be made in the open market, through privately negotiated transactions or block trades or
other means. This news release contains certain forward-looking statements regarding the timing and manner of, and the sources of funding for,
the company’s purchase of shares pursuant to the share repurchase program. Such statements reflect management’s plans, estimates and beliefs,
and are subject to risks and uncertainties, which could cause actual results to differ materially from such statements. Readers are cautioned not to
place undue reliance on the forward-looking statements contained in this release, which speak only as of the date hereof. We undertake no
obligation to update publicly or revise such forward-looking statements.
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Arthur J. Gallagher & Co. (USA) Acquires The Kirksey Agency, Inc.
Arthur J. Gallagher & Co. announced the acquisition of West Monroe,
La.-based The Kirksey Agency, Inc. Terms of the transaction were not
disclosed. The Kirksey Agency was founded in 1980 with crop insurance as
its flagship product, servicing Louisiana, Arkansas and Mississippi. The
agency has expanded its offerings in recent years to provide a full range of
commercial and personal products and services to clients across the
South-Central United States. Bill and Grace Kirksey and their team will
continue to operate in their current location under the direction of Bumpy
Triche, head of Gallagher's Mid-South region retail property/casualty
brokerage operations. Arthur J. Gallagher & Co., a global insurance
brokerage, risk management and consulting services firm, is headquartered
in Rolling Meadows, Illinois. The company has operations in 49 countries
and offers client-service capabilities in more than 150 countries around the
world through a network of correspondent brokers and consultants.
"The Kirksey Agency expands Gallagher's agricultural capabilities and
deepens our client offerings across the Mid-South region," said Jr.,
Chairman, President and CEO. "We are very pleased to welcome Bill,
Grace and their associates to our growing, global team."
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Arthur J. Gallagher & Co. (USA) Acquires Erin P. Collins & Associates, Inc.
Arthur J. Gallagher & Co. announced the acquisition of Kingman,
Arizona-based Erin P. Collins & Associates, Inc. (ECA). Terms of the
transaction were not disclosed. Incorporated in 1994, ECA is an employee
benefits and workplace wellbeing consultant serving clients throughout the
state of Arizona from offices in Kingman and Phoenix. The team has specific
expertise in working with multiple employer programs, also known as public
entity pools. Erin Collins and his associates will continue to operate from their
current locations under the direction of Scott Gregory, head of Gallagher's
Southwest region employee benefits consulting and brokerage operations.
Arthur J. Gallagher & Co., a global insurance brokerage, risk management and
consulting services firm, is headquartered in Rolling Meadows, Illinois. The
company has operations in 49 countries and offers client service capabilities in
more than 150 countries around the world through a network of correspondent
brokers and consultants.
"ECA's business is closely aligned with Gallagher's health and welfare
strategy, and further expands our benefits capabilities across the
Southwest. They also offer us unique cross-selling opportunities," said Jr.,
Chairman, President and CEO. "I am delighted to welcome Erin and his
associates to our growing global team."
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Arthur J. Gallagher & Co. (USA) Acquires The Merriam Agency
Arthur J. Gallagher & Co. announced the acquisition of Charles W. Merriam
& Son, Inc., dba The Merriam Agency. Terms of the transaction were not
disclosed. Founded in 1895, The Merriam Agency is a full-service insurance
agency with offices in upstate N.Y. (including Schenectady) and Colorado
Springs, Colo. The team offers a full range of commercial, personal lines and
employee benefits coverages and services, and specializes in serving nonprofit
and social service clients across the United States. Brian Merriam and his team
will operate under the direction of Patrick Kennedy, head of Gallagher's
Northeast region retail property/casualty brokerage operations. Arthur J.
Gallagher & Co., a global insurance brokerage, risk management and
consulting services firm, is headquartered in Rolling Meadows, Illinois. The
company has operations in 49 countries and offers client-service capabilities in
more than 150 countries around the world through a network of correspondent
brokers and consultants.
"The Merriam Agency has been serving the nonprofit community for 125
years! Their deep expertise and long-standing relationships in that market
will complement and expand Gallagher's existing strengths," said Jr.,
Chairman, President and CEO. "We are very pleased to welcome Brian and
his associates to our growing, global team."
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B3(Brazil): Vehicle financing totaled 503,600 units in August, down 5.4% compared to 2019
Financed vehicle sales in August 2020 totaled 503,600 units, including
new and used units. This figure represents a decrease of -5.4% in relation
to August 2019 and includes new and used vehicles - including
motorcycles, light and heavy vehicles - throughout the country. The
biggest negative impact was observed in credit sales of 0km vehicles,
which decreased -26.5% among light vehicles compared to August 2019.
Financed sales of used cars had a positive impact, with an increase of 1,
9%, on the same basis of comparison. The figures are from B3, which
operates the National Lien System (SNG), the largest private base in the
country, which includes the registration of financial restrictions on
vehicles given as collateral in credit operations throughout Brazil.
“The 5.4% drop observed in August 2020 compared to the same
month in 2019 was impacted by the lower number of working days in
the month this year. Considering only working days, the reduction
would be only 0.9% in credit sales. In this comparison, August would
be the first month after the start of the pandemic with impacts that are
practically neutral compared to last year ”,evaluates, Planning
Superintendent at B3.
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BRK Ambiental wins auction and will manage water and sewage services in Maceió and 12
more cities
BRK Ambiental will manage water and sewage services in the metropolitan region of
Maceió for the next 35 years. The company, represented by the brokerage firm Itaú,
won (30), at B3, the concession auction with a proposal of R $ 2,009,000,000.00, the
highest grant amount over the minimum amount stipulated in the notice of R $ 15.1
million, representing a premium of 13,182.64%. The auction, organized and
conducted by B3, was promoted by the state government of Alagoas through the
Secretariat of Infrastructure (Seinfra) and structured by the National Bank for
Economic and Social Development (BNDES). The concession foresees total
investments of R $ 2.5 billion over the 35 years of the contract, with R $ 2 billion
already invested in the first 8 years. Companhia de Saneamento de Alagoas (Casal)
continues to be responsible for collecting and treating water and selling treated water
to the concessionaire to distribute it to users. The concession's objective is to
universalize water supply in six years and increase access to the sewage network for
90% of the population by the 16th year of the contract. Due to the pandemic of the
new coronavirus, the format of the event was adapted to guarantee the protection of
the integrity of all, obeying the state and municipal regulations in force in São Paulo
and the recommendations of the Ministry of Health.
“It is the first auction after the legal framework for basic sanitation. The success,
in itself, explains the need for this landmark to be approved, as it allowed the
private sector to join the governments of states, municipalities and the federal
government in the challenge of bringing universal water and sewage treatment to
a group more than 100 million Brazilians ", analyzed the Minister of Regional
Development, commenting that the private sector is betting on the country, and
that this" is fundamental for the resumption of investments and for Brazil to come
out stronger from the crisis that the whole world has been affected by the
pandemic issue ”.
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CIT (USA) Completes Sale of Wealth Management Business to FirstSun Capital Bancorp
CIT Group Inc. announced that the trust and wealth advisory business of CIT Bank,
N.A. was acquired by FirstSun Capital Bancorp, through its subsidiary Sunflower
Bank, N.A. (FirstSun), effective Sept. 1, 2020. The transaction enables CIT to focus
on its core strengths and enhances FirstSun's capacity to meet its clients' expanding
financial management and generational family planning needs while building on its
strategic growth in Southwestern markets. The acquisition by FirstSun adds
approximately $800 million in assets under administration and approximately 20
wealth advisors, trust specialists and investment professionals to its existing
platform. Prior to the completion of this acquisition, Sunflower Bank had
approximately $1 billion in wealth management assets under administration. Its
full-service wealth management platform includes wealth planning, investment
management, brokerage, private banking and corporate retirement planning.
Sunflower Bank has been serving the financial needs of its communities for over 128
years and has operated as a trust company for over 50 years.
"We are pleased to have completed this transaction with FirstSun where the
business and team can be part of a broader wealth management strategy," said
CIT Chairwoman and Chief Executive Officer. "We remain focused on our core
strengths and creating an integrated banking offering for our key commercial and
consumer segments of the market."
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CIT (USA) Provides $20 Million Credit Facility for Protech Home Medical
CIT Group Inc. announced that its Healthcare Finance group, part of the
company's Commercial Finance division, provided a $20 million senior
secured credit facility for Protech Home Medical Corp. a leader in the home
medical equipment industry focused on end-to-end respiratory care. Based in
Cincinnati, Ohio, Protech Home Medical provides clients with a broad range
of in-home monitoring and disease management services, including
end-to-end respiratory solutions for patients in the United States healthcare
market. The credit facility will be used for general corporate purposes,
acquisitions and ongoing business development.
"This senior credit facility with CIT is truly a momentous moment for
Protech and I could not be prouder of the entire team for their continued
hard work that led us to this very significant moment. With this new credit
facility in place, we have added another tool in our toolbox that will further
enable us to take the company through its next stage of growth with our key
objectives in mind," Chairman and CEO of Protech.
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CIT (USA) Serves as Sole Lender on $75 Million Revolving Credit Facility for Skillsoft
CIT Group Inc. announced that its Asset-Based Lending business served as
agent and sole lender on a $75 million revolving credit facility for Skillsoft,
a global leader in learning and talent management solutions Based in
Boston, Massachusetts, Skillsoft enables organizations to unlock the
potential in their employees by delivering a range of digital learning and
talent management solutions. The financing will be used to support
continuing business operations and growth objectives. CIT's Asset-Based
Lending business meets clients' working capital needs by offering
innovative structures that reduce funding costs and lower operational risks
while improving earnings by leveraging accounts receivable, inventory or
fixed assets as collateral.
"We were impressed by CIT's agility and expertise in arranging this
financing at a critical moment in Skillsoft's evolution," said Skillsoft's
chief administrative officer. "With our stronger balance sheet and
significantly enhanced financial resources, we will continue our focus
on investing in best-in-class solutions and innovation, supporting our
customers' drive to develop adaptability, agility and resilience in their
organization to rapidly evolve in an ever-changing world."
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Deutsche Börse (Germany) acquires majority position in Quantitative Brokers, strengthening
its strategic focus on the buy side
Deutsche Börse is acquiring a majority interest in Quantitative Brokers, an independent
provider of advanced execution algorithms and data-driven analytics for global futures,
options and interest rate markets. The fintech company, which has operations in New
York, London, Sydney and Chennai, is a thought leader in market structure and stands at
the forefront of innovation in the fast-growing market for intelligent, electronic
execution services. Quantitative Brokers’ portfolio of algorithms, simulation tools and
analytics is used by some of the world’s largest institutional investors. QB’s offering
services the increasing demand for intelligent and transparent solutions to manage
execution cost and performance via a broker-neutral workflow. The QB algorithms are
uniquely engineered for both central limit order books and OTC liquidity streams while
accessible via all major execution and order management systems used by the buy side,
banks and brokerage houses. The transaction will move Deutsche Börse closer to the
sources of trading interest in the buy side value chain, contributing to the Trading &
Clearing division’s buy side focused growth initiatives. In the Exchange Traded
Derivatives segment, it will accelerate buy side product adoption and order flow
attraction. Quantitative Brokers’ renowned quant team will complement Deutsche
Börse’s drive to expand its data and analytics services.
Head of the Trading & Clearing Division of Deutsche Börse and Member of the
Executive Board: “We are investing in a growth business with a renowned,
innovative and leading quant team delivering a unique set of competencies in
algorithmic execution. The exciting QB platform and team are a perfect fit with both
our existing business and our long-term strategic perspective.”
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MarketAxess to acquire Regulatory Reporting Hub from Deutsche Börse Group (Germany)
MarketAxess Holdings Inc. the operator of a leading electronic trading platform for
fixed-income securities, and the provider of market data and post-trade services for
the global fixed-income markets, has entered into an agreement to acquire the
Regulatory Reporting Hub, the regulatory reporting business of Deutsche Börse
Group. MarketAxess will acquire the business through Trax NL B.V., its wholly
owned subsidiary in the Netherlands. The Regulatory Reporting Hub is a
pan-European reporting and compliance platform that enables buy- and sell-side
clients to meet their regulatory obligations and transparency requirements across
multiple regulations, such as MiFID II and EMIR. Services include transaction and
trade reporting, best execution reporting and SI services, as well as APA and ARM
services. MarketAxess is already a leading provider of post-trade reporting and pre-
and post-trade data services. The acquisition of the Regulatory Reporting Hub will
help to further expand and enhance these services across a broader European client
base, particularly in Germany, France and the Nordics.
Head of EMEA and APAC at MarketAxess, commented: “With over 30 years of
experience in providing regulatory reporting and data services to the world’s
leading financial institutions, we know just how important they are for our
clients. With this acquisition, we’re strengthening both our global post-trade and
data businesses in two important ways: significantly extending our European
client footprint, and increasing our ability to bring new, innovative technologies
and solutions to a critical and complex part of the trade lifecycle.”
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Clearstream creates Fund Centre after completing acquisition of majority stake in Fondcenter
AG from UBS
Deutsche Börse’s post-trade services provider Clearstream completed the acquisition of
a majority stake in UBS’s fund distribution platform Fondcenter AG from UBS on 30
September. In January 2020, Clearstream and UBS announced a joint agreement under
which Clearstream has now acquired a 51.2 percent stake in the B2B fund distribution
support platform Fondcenter for CHF 389 million. UBS holds a minority stake of 48.8
per cent, remaining a strategic partner, and has entered into long-term cooperation
agreements for the provision of services by Clearstream including to continue using the
Fund Centre platform on a long-term basis. Fund distributors have increasingly
outsourced resource-intensive distribution support services, such as fee management and
research as well as the management of fund data and documentation. Asset managers
benefit from the global client network of Clearstream which brings additional reach and
efficiency in the distribution of investment funds. Clearstream combines the Fondcenter
business with its existing Fund Desk, forming Clearstream Fund Centre, a centre of
excellence for global fund distribution support with over USD 290 billion assets under
administration and anticipated double-digit revenue growth over the next years.
CEO of Fondcenter and Head of Investment Fund Services Product at Clearstream,
said: “Fondcenter’s fund platform business perfectly complements Clearstream’s
existing fund distribution support services. With the newly combined Clearstream
Fund Centre, fund distributors will now have access to contracts covering over
70,000 funds worldwide. We are delighted that we can offer this comprehensive
portfolio to our existing and future client base.”
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Balder invests together with Anthon B Nilsen Eiendom in Norway
Fastighets AB Balder buys 50% of the Norwegian company Anthon B Nilsen
Eiendom AS. The transaction includes the Anthon B Nilsen Group's total property
portfolio with properties in Oslo and at Lahaugmoen, as well as a development
portfolio of 170,000 sq.m. in eastern Norway. The market value of the properties
included in the transaction is approximately NOK 3,000 million.
Facts about Anthon B Nilsen Eiendom AS:
• Anthon B Nilsen Eiendom AS is an ambitious company for property development
and management. The business concept is to acquire and develop plots and
property areas with a quality that stands up in the future.
• Property values: approximately NOK 3 billion
• Development areas: 170,000 sqm
• Area: 60,000 sqm
• Number of employees: about 20 people
“With Balder as a partner, we get the power to move the business up a division in
Norway. We gain financial strength to be able to compete for, and implement,
larger and more comprehensive development projects. This will be good in the
long term both for the Norwegian real estate market, for our employees and for
us as owners.”, says CEO.
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Freddie Mac (USA) Announces $534 Million NPL Sale
Freddie Mac announced an approximate $534 million non-performing loan (NPL) transaction, which is an auction of seasoned non-performing residential
first lien loans held in Freddie Mac’s mortgage-related investments portfolio. The NPLs are currently serviced by Specialized Loan Servicing LLC. The
NPLs are being marketed via five pools: four Standard Pool Offerings (SPO®) and one Extended Timeline Pool Offering (EXPO®), which targets
participation by smaller investors, including non-profits and Minority, Women, Disabled, LGBT, Veteran or Service-Disabled Veteran-Owned Businesses
(MWDOBs). Bids are due from qualified bidders by October 1, 2020 for the SPO pools, and October 15, 2020 for the EXPO pool. The SPO and EXPO
pools are expected to settle in December 2020. All eligible bidders, including private investors, MWDOBs, non-profits and neighborhood advocacy
organizations are encouraged to bid. To participate, all potential bidders must be approved by Freddie Mac and successfully complete a qualification
package to access the secure data room containing information about the NPLs and to bid on the NPL pool(s). The bids are to be made on an all-or-none
basis for any pool separately or for any combination of SPO pools together. The winning bidder will be determined on the basis of the economics of the
bids, subject to meeting Freddie Mac’s internal reserve levels, at Freddie Mac’s sole discretion. Advisors to Freddie Mac on the transaction are Wells Fargo
Securities LLC, and First Financial Network, Inc., a woman-owned business. Freddie Mac’s seasoned loan offerings are focused on reducing less-liquid
assets in the company’s mortgage-related investments portfolio in an economically sensible way. This includes sales of NPLs, securitizations of
re-performing loans (RPLs) and structured RPL transactions. To date, Freddie Mac has sold $8.4 billion of NPLs and securitized approximately $64.8
billion of RPLs consisting of $28.7 billion via fully guaranteed PCs, $28.3 billion via Seasoned Credit Risk Transfer (SCRT) senior/sub securitizations, and
$7.8 billion via Seasoned Loans Structured Transaction (SLST) offerings.
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Intercontinental Exchange (USA) Completes Acquisition of Ellie Mae from Thoma Bravo
Intercontinental Exchange a leading operator of global exchanges and clearing houses and provider of mortgage
technology, data and listing services, announced that it has received regulatory approval and fully completed its
$11 billion acquisition of Ellie Mae from leading private equity firm Thoma Bravo. Ellie Mae was founded in
1997 with a mission to automate and digitize the trillion-dollar residential mortgage industry. Through its digital
lending platform, Ellie Mae provides technology services to all participants in the mortgage supply chain,
including its over 3,000 customers and thousands of partners and investors participating on their open network
who provide liquidity to the market. Lenders rely on Ellie Mae to securely manage and facilitate the exchange of
data across the ecosystem to enable the origination of mortgages, while maintaining strict adherence to various
local, state and federal compliance requirements. Intercontinental Exchange’s efforts to help automate the
mortgage workflow began with its majority investment in the Mortgage Electronic Registrations System (MERS)
in 2016, which it fully acquired in 2018. The strategy continued with the acquisition of Simplifile in 2019,
furthering a focus on digitizing the closing and post-closing process for U.S. mortgages. The core focus of Ellie
Mae's technology, expertise and network is in the mortgage origination process, connecting brokers, underwriters
and lenders. With all three of these entities, MERS, Simplifile and Ellie Mae working together as part of ICE
Mortgage Technology, the expanded platform will, for the first time, bring together all of the key stakeholders
from origination to final settlement in one digital mortgage ecosystem.
Based on a closing date of September 4th, 2020 and an allocation to ICE based on the number of business days
following completion, ICE currently expects the Ellie Mae transaction to contribute the following to its third
quarter 2020 results:
• Revenue of $67 million to $72 million
• Adjusted operating expense1 of $34 million to $36 million
• Interest expense of $11 million to $12 million
• Approximately 5 million weighted average diluted shares outstanding, which are expected to result in total
weighed average diluted shares outstanding of 551 million to 554 million in the third quarter of 2020.
“We are excited to begin the next important chapter in our journey to digitize the residential mortgage
industry,” said Founder, Chairman and CEO of Intercontinental Exchange. “Ellie Mae’s industry leadership
and best-of-breed technology will better enable us to further accelerate the automation of the mortgage
origination workflow, which will benefit stakeholders across the production chain, including consumers.”
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Patricia Industries acquires Advanced Instruments, the global market leader in analytical osmolality
Patricia Industries, a part of Investor AB, has signed an agreement with Windjammer Capital
to acquire US company Advanced Instruments, the leading global provider of osmolality
testing instrumentation and consumables for the clinical, biopharmaceutical, and food &
beverage markets. Advanced Instruments manufactures a broad portfolio of innovative
osmolality testing products used in over 90 countries. The company's rapidly growing
biopharmaceutical product range is used in the research laboratories and manufacturing
facilities in all top 10 global biopharmaceutical companies. The products are also used by
numerous emerging cell and gene therapy companies to optimize and monitor formulation
and production of complex biologics products. Advanced Instruments' clinical products are
used by leading academic and community hospitals across the world for diagnosing a variety
of medical conditions. The food & beverage products are used by many leading global
producers and has a particular focus on ensuring product quality in the dairy market. Since
its formation in 1955, Advanced Instruments has entrenched osmolality as a critical and
high-value test enabling the measurement of the number of dissolved particles in a fluid to
diagnose medical conditions and assess product quality in a variety of settings. The company
has built a strong brand reputation and deep customer relationships, it is recognized as the
global authority on osmolality testing, and its products are the standard within each of its
core markets. Clinical is the largest segment, followed by biopharma, then food & beverage.
Geographically, North America is the single largest market.
"Advanced Instruments fulfils many of the criteria we seek in new investments. It is the
clear global leader in a highly attractive market segment with durable long-term growth
prospects. The company's products are critical for its customers yet represent a fraction
of their overall costs. Advanced Instruments has a compelling financial profile with high
growth and profitability, strong cash flow generation, and a large share of recurring
revenue. We believe that Advanced Instruments is a great addition to Patricia Industries",
comments Investor AB President and CEO.
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Macquarie (Australia) makes £73 million debt investment in UK data centre sector
Macquarie Infrastructure Debt Investment Solutions (MIDIS) announced its first
transaction in the data centre sector, supporting Vantage Data Centers, a leading
global provider of hyperscale data centre campuses, in its acquisition of Next
Generation Data, Europe’s largest data centre campus. Next Generation Data is a
180 MW data centre campus located in Newport, Wales. The campus offers
wholesale out-of-town data centre space for some of the world’s largest
companies via an existing 72 MW facility and 108 MW of expansion capacity.
Vantage Data Centers acquired the facility from its founders and InfraVia in July
2020 as part of an ongoing strategic expansion across Europe. MIDIS was one of
the largest participants in Vantage Data Centers’ £320 million debt financing
package arranged by Natixis, providing £73 million of the debt facilities to
support the acquisition and future expansion of the campus. The investment,
which was made on behalf of UK, European, and Asian pension fund and
insurance clients, represents MIDIS’ continued strong appetite to finance high
quality assets in the growing digital infrastructure sector.
Managing Director, MIDIS, said: “Data centres play a key role in supporting
the world’s fast-growing digital economy. We see a growing role for MIDIS in
the sector by partnering with leading sponsors to meet the rising demand for
connectivity and exponential data growth expected globally over the years
ahead. We are pleased to support Vantage’s European growth plans, and with
the partnership and unmatched operational expertise of Digital Colony, we are
confident this capital will enable Vantage to deliver hyperscale capacity to
customers globally.”
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Macquarie (Australia) makes £120 million debt investment in UK energy from waste sector
Macquarie Infrastructure Debt Investment Solutions (“MIDIS”) has announced a
£120 million long-term debt investment in a portfolio of energy from waste assets
operated by Viridor. Viridor operates 11 energy recovery facilities across the UK.
The portfolio processes 3.1 million tonnes of non-recyclable waste each year and
represents 337 MW of installed capacity. Viridor also has a pipeline of projects
under development, including a plastics recycling facility due to enter operations
later this year. The long-term senior secured debt financing provided by MIDIS
replaces shorter-term debt raised by Kohlberg Kravis Roberts & Co. L.P.
managed funds for their £4.2 billion acquisition of Viridor from Pennon Group
PLC in July 2020. MIDIS was one of the largest institutional lenders in the
financing package, investing on behalf of pension fund and insurance clients from
the UK, Europe, and Asia. MIDIS is helping to finance the UK’s transition to a
low-carbon economy. Since its inception in 2012, MIDIS has provided more than
£1.5 billion in debt financing to leading borrowers across the energy from waste,
onshore wind, offshore wind, and solar PV sectors.
Senior Vice President, MIDIS, said: “Viridor is a welcome addition to the
MIDIS portfolio and in line with our strategy of supporting the development
of sustainable infrastructure businesses. With its advanced energy recovery
facilities and commitment to the circular economy, Viridor is helping to power
communities across the UK whilst reducing the amount of waste sent to
landfill each year.”
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Schroders (UK) launches British Opportunities Trust to invest in future business growth
Schroders announces its intention to launch the Schroder British Opportunities Trust plc, a new
investment trust focused on investing in the future growth of British Business, both public and
private, while supporting UK employment through the pandemic and beyond. With further
restrictions announced in the UK within the last 24 hours, British businesses will need funding
now more than ever to ensure their growth through this pandemic and beyond. The Schroder
British Opportunities Trust plc will be launched in response to the current challenging market
conditions. The Trust seeks to invest in high-quality, small and mid-sized UK companies with
sustainable business models. These companies may require additional equity either to maximise
their growth potential or to return them to their previous growth trajectory. In anticipation,
Schroders is seeking to raise £250 million, via an initial public offering, to invest in a proactive
public and private equity investment strategy, which aims to provide long-term total returns.
Through active engagement, the Schroders investment team will promote a long-term focus on
sustainability from investee companies by encouraging incorporation of the UN Sustainable
Development Goals (SDGs) into their business planning, the adoption of best ESG practices and
disciplined capital allocation. The investment team is led by two of Schroders’ senior investors
with strong performance track-records, Rory Bateman, Head of Equities and Tim Creed, Head of
UK and European Private Equity.
Head of Equities, commented: "This is a once-in-a-generation opportunity to invest in the
future of British business and produce substantial returns while making a positive impact.
The companies that require funding are often too large to be the focus of government
initiatives, but too small to have the necessary impact with banks or credit markets. The
current level of UK government debt-driven support is unsustainable and as support comes
to an end, we believe many high-quality UK growth businesses will require an injection of
‘fresh’ equity to grow and succeed through the pandemic and beyond.”
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TD Ameritrade (USA) Provides Update on Regulatory Actions Related to its Acquisition by Schwab
TD Ameritrade Holding Corporation announced that The Toronto-Dominion Bank
(“TD Bank”) notified The Charles Schwab Corporation (“Schwab”) that it has
received regulatory approval from the Board of Governors of the Federal Reserve
System in connection with Schwab’s proposed acquisition of TD Ameritrade. With
this decision from the Federal Reserve, Schwab, TD Bank and TD Ameritrade have
received all necessary legal and regulatory approvals for the proposed acquisition.
Stockholders of both firms approved the transaction on June 4, 2020. The companies
are now in position to close the transaction and expect to do so on Tuesday, Oct. 6,
2020, subject to the customary closing conditions set forth in the merger agreement.
“For the last 45 years TD Ameritrade has been a force for positive change in
financial services. We opened our doors in Omaha, Neb., in 1975 to bring Wall
Street to Main Street, and in doing so, we helped pioneer an industry that has
transformed not just investing, but millions of lives, for the better,” said Interim
president and chief executive officer. “On behalf of our management team, I want
to thank all of our valued clients for placing their trust in us and finding value in
our vision of what financial services could be. We have spent the better part of the
last year planning an integration with Schwab that will be executed with the
utmost care, attention to detail, and communication every step of the way. And to
our workforce I say this: for your ideas, values, commitment to our clients, our
communities, and each other, thank you. For your tireless determination during
the extraordinary circumstances we have faced, thank you. And, for inspiring me
and the rest of our management team daily, thank you. While we may be turning
the page on one terrific chapter, an even better one is about to start because of the
legacy you’ve helped create.”
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B3 (Brazil) and S&P launch ESG index
22
Solution Description
B3, the Brazilian stock exchange, and S&P Dow Jones, the world's largest index provider, announce the launch of the S & P / B3 Brasil ESG index.
The indexer uses criteria based on environmental, social and governance practices to select Brazilian companies for its portfolio. The objective of
S & P / B3 Brazil ESG is to give investors central exposure to the Brazilian stock market, while promoting companies with the best ESG ratings.
The index uses the universe of companies listed on B3 and that make up the S&P Brazil BMI (Broad Market Index), with the exception of those
that are not adhering to the principles of the Global Compact or that are part of specific sectors (such as arms, tobacco and thermal coal). Eligible
companies are then weighted by S & PDJI's ESG score based on the Corporate Sustainability Assessment (CSA). Those that do not reach a
sufficient score considering the environmental, social and governance criteria are not included in the portfolio.

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CIT (USA) Launches New Commercial Online Banking Platform for Community
Association Banking Customers
23
CIT Group Inc. announced the launch of a new commercial online banking platform, designed to maximize efficiency and agility for Community Association
Banking customers. With new and enhanced features, the platform offers a robust suite of digital tools. The new platform delivers a wide variety of integrated
payment and receivable capabilities in order to efficiently digitize and seamlessly integrate functions such as remote deposit capture, ACH, wires and other
payments. Key features also provide enhanced integration with other products—customers can sync transactions with QuickBooks® or extend the value of
their existing accounting software through API connection. Additionally, security features such as automated fraud detection and alert options for fraud
attempts help reduce risk. CIT's Community Association Banking business is a national leader in association banking services, including certificates of
deposit, money market accounts, and a variety of digital payments solutions, supported by the expertise of CIT's Treasury and Payment Services business.
CIT is a leading national bank focused on empowering businesses and personal savers with the financial agility to navigate their goals. CIT Group Inc. is a
financial holding company with over a century of experience and operates a principal bank subsidiary, CIT Bank, N.A. (Member FDIC, Equal Housing
Lender). The company's commercial banking segment includes commercial financing, community association banking, middle market banking, equipment
and vendor financing, factoring, railcar financing, treasury and payments services, and capital markets and asset management. CIT's consumer banking
segment includes a national direct bank and regional branch network.

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CME Group (USA) Launches FX Options Volatility Converter Tool
24
CME Group, the world's leading and most diverse derivatives marketplace, announced the launch of a new FX Options Vol Converter tool. At a time when
market participants are looking for efficiencies and ways to lower their cost to trade, this new service is the first-ever tool to price CME Group's listed FX
options liquidity in over-the-counter (OTC) terms, helping foreign exchange traders to more easily monitor price relationships, make more informed
decisions across markets, and ensure best execution for their trading strategies. CME Group's listed markets have the largest central limit order book for FX
options. This tool takes the extensive price data that is already functionally equivalent to OTC options, with alignments in style, expiration time, and
underlying price convergence and creates a volatility grid by tenor and deltas for comparison purposes. As the world's leading and most diverse derivatives
marketplace, CME Group (www.cmegroup.com) enables clients to trade futures, options, cash and OTC markets, optimize portfolios, and analyze data –
empowering market participants worldwide to efficiently manage risk and capture opportunities. CME Group exchanges offer the widest range of global
benchmark products across all major asset classes based on interest rates, equity indexes, foreign exchange, energy, agricultural products and metals. The
company offers futures and options on futures trading through the CME Globex® platform, fixed income trading via BrokerTec and foreign exchange trading
on the EBS platform. In addition, it operates one of the world's leading central counterparty clearing providers, CME Clearing. With a range of pre- and
post-trade products and services underpinning the entire lifecycle of a trade, CME Group also offers optimization and reconciliation services through
TriOptima, and trade processing services through Traiana.

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EBS Institutional Connects to IHS Markit's thinkFolio Investment Management
Platform
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EBS, a leading provider of electronic trading platforms and technology services in foreign exchange markets, announced the connectivity between its EBS
Institutional (EBSI) execution management system and thinkFolio, a leading multi-asset investment management platform from IHS Markit. As a result of
this new service to be in place by Q4 2020, thinkFolio clients will be able to access EBSI's unique execution functionality to reduce their trading costs.
Additionally, mutual clients of IHS Markit and EBSI will benefit from thinkFolio's extensive cash and currency management capabilities, sophisticated
analytics and enhanced liquidity. The integration of workflows across the two systems will enable portfolio managers and traders to aggregate or split FX
orders in thinkFolio, before routing the orders to be executed through EBSI. EBSI is a fully automated execution management system, using industry leading
technology to significantly reduce trading costs and enhance performance by automating and solving complex trading and workflow problems. thinkFolio
from IHS Markit delivers sophisticated capabilities across Portfolio Modelling, Order Management & Trading, Cash & FX Management, Compliance and
the Investment Book of Record (IBOR). Customers can implement thinkFolio as a single, integrated investment management platform that supports their
entire front office. Due to the flexible, modular design of thinkFolio, they also have the option of deploying the platform for specific use cases and assets
classes, including fixed income, cash management and FX or loans.

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Franklin (USA) Templeton Combines Award-Winning Research with Machine
Learning in New Goals Optimization Engine
26
Franklin Templeton announced the introduction of its proprietary Goals Optimization Engine, or GOETM. The global offering provides investors with personalized investment
paths for their unique goals, and allows financial professionals a scalable way to offer a differentiated investment solution and deepen client relationships. The Engine is built
based on 2018 Markowitz Award winning proprietary research that defines investment success by whether or not the investor’s goals are achieved, recommending investment
decisions that will help maximize that chance of success. Banks, advisers, financial professionals and defined contribution plans can leverage the technology to help provide
better outcomes to their clients while gaining business efficiencies. GOE, a patent pending process, combines a proprietary algorithm based on award-winning research, detailed
capital market expectations, and a set of parameters for each goal provided by the investor. GOE is designed to take these parameters and optimize the asset allocation to
maximize the probability of successfully achieving the goal by applying machine learning. This optimization process occurs regularly through the time horizon of the
investment and re-allocates assets to increase or decrease risk in the portfolio as needed. GOE will de-risk as the goal target approaches versus reaching for a higher return, with
higher risk. GOE can also facilitate decisions across goals with different priorities. GOE’s open-architecture offering will be delivered through AdvisorEngine, Franklin
Templeton’s recently acquired platform. Franklin Templeton is also building relationships with third-party technology companies and financial institutions to enable access
around the world. One such relationship is with NextCapital, with whom GOE will be brought to market as part of a discretionary managed advice solution for the defined
contribution industry. GOE is one in a series of investments Franklin Templeton has made along the wealth tech ladder.

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Franklin (USA) Templeton Multi-Asset Solutions Business and Quantitative Manager QS
Investors Join Forces
27
Franklin Templeton announced its plans to combine the Franklin Templeton Multi-Asset Solutions (FTMAS) and QS Investors capabilities to form Franklin
Templeton Investment Solutions (FTIS), a single best-in-class solutions business platform that will deliver an expanded range of investment capabilities to
clients. Effective October 1, 2020, the combined team of more than 120 investment professionals will oversee more than $120 billion in multi-asset
strategies, leveraging a broad spectrum of investment capabilities from fundamental to quantitative. FTMAS is Franklin Templeton’s multi-asset “hub” that
integrates the firm’s independently managed fundamental and quantitative research into customized solutions for clients around the globe. QS Investors is
known for its innovative quantitative, factor-based equity and asset allocation strategies as well as customized portfolio construction capabilities. QS became
one of Franklin Templeton’s specialist investment managers through its acquisition of Legg Mason on July 31, 2020. With strategies dating back to 1948,
FTMAS is dedicated to helping investors achieve their financial goals through multi-asset strategies, including income funds, diversified-outcome funds and
asset allocation funds. Franklin Templeton’s deep bench of multi-asset experts generates a top-down view across asset classes and regions while connecting
the bottom-up insights of the global investment teams across Franklin Templeton.

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Synchrony (USA) Expands Arsenal of Digital Payment Technology Solutions for Partners;
Provides Touchless Shopping Options for Customers
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Synchrony, a premier consumer financial services company, is rapidly deploying digital technology solutions to help ensure a safe, seamless and
socially distant experience for every stage of the payments process – applying for credit, completing the transaction, and paying a bill or servicing an
account. Synchrony even has digital gifting technology for the holidays. While the digital shopping transformation has been underway for several years,
the pandemic has accelerated consumer demand to transact without touching cash, cards, or keypads – also known as contactless commerce. In a recent
study, the overall usage of contactless payments rose 150% since March 2019. As businesses meet consumers’ digital needs in the COVID era,
Synchrony is increasing its digital capabilities for partners and their customers across all channels. Consumers can apply for a credit card on their own
device (in store, at home, or anywhere), add a new credit card into their digital wallet, transact with contactless cards, and make monthly card payments.
As a result of the company’s investments in technology capabilities and customer friendly tools, an estimated 70 percent of Synchrony’s credit
applications in the second quarter were completed digitally. Approximately 80% of Synchrony’s total bill payment transactions are processed
electronically -- through both digital channels and by phone.

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Voya Financial (USA) Launches New COBRA and HRA Offerings to Expand Its Suite of
Workplace Benefits
29
Voya Financial, Inc. announced its latest expansion of workplace solutions and services that it will offer to its Retirement and Employee Benefits clients to help
both employers and their employees with their financial wellness needs — particularly during a time when employees are increasingly looking for health and
wealth support through the workplace. Effective Jan. 1, 2021, Voya is adding the following offerings to its suite of Health Savings and Spending Accounts:
• Health Reimbursement Arrangements (HRAs) — A Voya HRA is a tax-advantaged account that allows both employers and their employees to help save on the
cost of health care. For employees, the HRA is funded entirely by the employer, and employees get reimbursed for eligible medical expenses. Since it’s a
tax-advantaged account, employees typically don’t pay taxes on the money in the account or when they are reimbursed. For employers, contributions to HRAs are
tax deductible; can possibly lower their benefit premiums; and provide a financial incentive to their employees to help control and manage their health-care
spending, since the decision about contribution amounts and eligible medical expense reimbursement is made by the employer.
• COBRA administration — The Consolidated Omnibus Budget Reconciliation Act (COBRA) of 1986 requires all businesses with 20 or more employees that
provide employee benefits to offer extended coverage to all employees who are terminated or retire or to the beneficiaries of deceased employees. For employers,
managing associated compliance requirements and keeping track of changing legislation makes COBRA administration a challenge — especially for companies
with a stretched HR staff.

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New Voya (USA) Digital Video Platform Provides Retirement Savers Access to 24/7
Financial Education
30
Voya Financial, Inc., announced that its Retirement business has introduced Voya Learn, the latest innovation to the company’s suite of digital educational
retirement-planning resources. Designed to provide 24/7 digital access to digestible financial education, Voya Learn offers both live and on-demand financial
education sessions covering a broad range of important financial wellness and retirement topics. Voya Learn comes at a time when many Americans are
turning to technology as a resource for financial information and guidance as a result of the COVID-19 pandemic. According to research from Voya, more
than half (55%) of individuals believe technology will have the greatest impact on how they spend (28%) and make money (27%) in the next five years, while
more than a third (34%) believe it will have an impact on how they save or invest. Reinforcing the shift to technology and the important role it can play in
delivering financial education, the Voya Learn platform, which was introduced in early 2020, has seen more than 33,000 visitors since its inception.3 The
platform also saw a significant increase in users in March and April 2020 with COVID protocols implementing stay-at-home enforcements for most
individuals. Topics including financial wellness, emergency savings, investing concepts and market volatility continue to remain the most viewed as a result
of today’s environment.

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BlackRock (USA) Earns Straight A’s for Transparency by Principles for Responsible Investment
31
For the first time since signing the Principles for Responsible Investment (PRI) in 2008, BlackRock achieved an A or A+ score across all categories,
including an A+ in Strategy & Governance. In 2020, BlackRock met or exceeded the median score for investment managers and earned the most A+
scores in firm history. BlackRock’s 2020 assessment showed improved PRI scores in every direct investment practice area, including equities, fixed
income, alternatives and advisory segments – reflecting how the firm’s investment teams have moved to integrate environmental, social and governance
(ESG) into every investment practice in recent years. Two centerpieces of the letter mirror this year’s PRI results — increasing transparency into
BlackRock Investment Stewardship (BIS) activities and a continued focus on integrating environmental, social and governance data across our active
investment processes. In the past year, BIS has issued 45 bulletins to explain vote decisions and the engagement behind it. And, as of June 30, more than
80% of the approximate 5,600 active portfolios managed by BlackRock have integrated ESG criteria into standard investment practices such as
portfolio risk reviews with BlackRock’s Risk and Quantitative Analysis (RQA) group.
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CIT (USA) Named Top Lead Arranger for Renewable Energy Financing
32
CIT Group Inc. announced that its Power and Energy business was named Renewable Energy Lead Arranger of the Year by Power Finance & Risk, a
top publication covering the energy project finance industry. CIT's Power and Energy business was selected by the Power Finance & Risk editorial team
based on its independent research and industry insights. The award is granted for excellence and innovation while serving as lead arranger in financing
renewable energy projects for a variety of clients, the magazine said. CIT consistently ranks among the top banks in leading financing for U.S. power
and renewables projects, according to league tables compiled by Inframation, an Acuris company. Earlier this year, CIT received a Stevie American
Business award for achievement in banking management in recognition of its continuing success in financing renewable power projects and utility-scale
battery storage projects across the U.S. Power and Energy, part of CIT's Commercial Finance division, leverages its deep industry knowledge and
expertise to offer comprehensive financing solutions for renewable and conventional power generation. The unit manages a large, diverse portfolio that
includes investments in all asset classes across the energy sector.
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E*TRADE (USA) Equity Edge Online® Earns Highest Net Promoter Score Among Full
Administration Stock Plan Providers
33
E*TRADE Financial Corporate Services, Inc. received top ratings in a number of administrator and participant categories in the Group Five 2020 Stock Plan Administration
Benchmark Study.
On the administrator front:
• E*TRADE improved its Loyalty net promoter score by 11 points and is rated highest in this category among full administration plan sponsors.
• For the ninth year in a row, Equity Edge Online® was rated #1 in Loyalty and Overall Satisfaction for partial administration.1
• For the third year in a row, E*TRADE was rated highest among full administration plan sponsors in Overall Satisfaction with the administration platform and plan reporting.
• New this year, E*TRADE was recognized as the industry leader by 98% of E*TRADE clients surveyed.
On the participant front:
• For the third year in a row, E*TRADE was rated highest among partial administration plan sponsors in supporting customizable participant communications and alerts.
• For the third year in a row, E*TRADE was rated highest among full administration plan sponsors for the ease of use of the participant website.
• New this year, E*TRADE was rated highest among full administration plan sponsors for the functionality of the participant website and mobile app, and educational resources on
plan details and value.
Additionally, E*TRADE received the highest ratings among stock plan administration systems used for internal recordkeeping in the following categories:
• Overall Satisfaction with account support (8 years)
• Accuracy of plan reports (8 years)
• Administration platform's ability to support plan design (8 years)
• Ease of use of plan reports and administration platform (8 years)
• Accurate execution of plan events (8 years)
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ICE Clear Europe receives Recognition as a Third Country Central Counterparty under EMIR
34
Intercontinental Exchange, Inc., a leading operator of global exchanges and clearing houses and provider of mortgage technology, data and listings services,
announces that ICE Clear Europe, ICE’s London-based clearing house, has been recognized by the European Securities and Markets Authority (ESMA), the
European Union (EU) securities markets regulator, as a third country central counterparty in accordance with the European Markets Infrastructure Regulation
(EMIR). This recognition will take effect once the transition arrangement between the United Kingdom and EU ends. With approximately four million
contracts cleared every day across multiple asset classes, ICE Clear Europe acts as a central counterparty that becomes the buyer to every seller and the seller
to every buyer for its clearing members. Through this central counterparty function, ICE Clear Europe provides financial security for each transaction for the
duration of the position by limiting counterparty credit risk. ICE Clear Europe clears futures and options contracts for interest rates, equity index futures,
energy products, agricultural products and credit default swaps. Intercontinental Exchange is a Fortune 500 company formed in the year 2000 to modernize
markets. ICE serves customers by operating the exchanges, clearing houses and information services they rely upon to invest, trade and manage risk across
global financial and commodity markets. A leader in market data, ICE Data Services serves the information and connectivity needs across virtually all asset
classes. As the parent company of the New York Stock Exchange, the company is the premier venue for raising capital in the world, driving economic growth
and transforming markets.
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Kaisa Group (China) rated as “Low-Risk” in ESG Risk Rating by Sustainalytics Ranked 1st
Among Property Developers in Asia-Pacific Region
35
Kaisa Group Holdings Ltd. (“Kaisa” or the “Company”, SEHK stock code: 1638, together with its subsidiaries, the “Group”), a property developer established in Shenzhen with a countrywide foothold
in China, is pleased to announce that it has been awarded a score of 18.7 in Environmental, Social, Governance (“ESG”) Risk Rating, among the “Low-risk” category, by the ESG Rating Report
published by Sustainalytics. The rating ranked first among property developers in Asia-Pacific region, fully reflecting the Group's outstanding performance in ESG issues. Sustainalytics is a leading
independent global provider of ESG ratings and research. It was recognized as the Largest Verifier for Green Bonds by Climate Bonds Initiative for three consecutive years. It has become one of the
most authoritative and creditable rating agencies trusted by professionals and investors. Sustainalytics’ ESG Risk Rating uses a risk approach to assess company’s exposure to risks according to their
ESG performance. It categorizes the company ratings across five risk levels, namely negligible, low, medium, high and severe. Sustainalytics reviewed the Group's ESG performance in 2019, and it
significantly reduced the Group’s ESG risk rating score from a "medium risk" level of 24.7 to a "low risk" level of 18.7, in recognition of the Group's efforts in sustainable development. The stellar
achievement is mainly attributable to a series of measures implemented by the Group to bolster good corporate governance in both operational development and internal management. In terms of
environmental protection, the Group has implemented environmental protection measures throughout the entire project construction process and promoted the formation of a green and low-carbon city
construction operation model with a series of energy-saving and emission-reduction green measures. The Group has obtained 5 green building certifications in 2019 with green building certification
area amounting to approximately 1 million sq. m. Regarding social responsibility and contribution, the Group actively responded to policy planning and people's livelihood demands in the process of
urban renewal, and established education, healthcare, culture and sports and other public service facilities according to local conditions, as well as the construction of indemnificatory apartments for
low-income families. In addition, the ESG rating awarded "low risk" rating to the Group in various aspects including integrity supervision, product management and talent development, reflecting the
rating agency's recognition of the Group's corporate governance strategy. Meanwhile, it demonstrates that while contributing to the society, the Group has a well-supervised and managed internal
system as it is committed to achieving corporate sustainable development.
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Morgan Stanley (USA) Wealth Management Recognizes Employees Named to MAKERS
Class of 2020
36
Morgan Stanley Wealth Management has recognized the achievements of 18 outstanding professionals as part of its partnership with MAKERS – a project
dedicated to identifying and celebrating women of accomplishment across multiple fields along with the men who sponsor and champion women’s achievement.
Launched in 2012, MAKERS is a storytelling platform for the trailblazing women of and tomorrow. Morgan Stanley Wealth Management is a founding partner of
MAKERS@, which encourages corporations to celebrate, acknowledge and connect their leading female employees to the larger MAKERS network. Morgan
Stanley Wealth Management, a global leader, provides access to a wide range of products and services to individuals, businesses and institutions, including
brokerage and investment advisory services, financial and wealth planning, cash management and lending products and services, annuities and insurance,
retirement and trust services. Morgan Stanley is a leading global financial services firm providing investment banking, securities, wealth management and
investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments,
institutions and individuals.
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Raymond James (USA) analysts receive nine awards in the 2020 StarMine Analyst Awards
from Refinitiv
37
The Raymond James Equity Research department received nine awards in the 2020 StarMine Analyst Awards from Refinitiv. The firm has been ranked in the top
10 in the U.S. over the past 10-year period for total awards won. Based on StarMine methodology, the StarMine Analyst Awards from Refinitiv objectively measure
the performance of analysts based on the returns of their buy/sell recommendations and the accuracy of their earnings estimates. The 2020 stock picking awards
for the United States and Canada are based on the 2019 calendar-year performance of recommendations. The 2020 awards for estimating performance are scored
on the fiscal period that reported between 01 April 2019 and 31 March 2020. Only analyst performance on companies that are based in the United States and
Canada, respectively, is included in the awards calculations. Raymond James Financial, Inc., is a leading diversified financial services company providing private
client group, capital markets, asset management, banking and other services to individuals, corporations and municipalities. The company has approximately 8,200
financial advisors throughout the United States, Canada and overseas. Total client assets are $908 billion. Public since 1983, the firm is listed on the New York
Stock Exchange under the symbol RJF.
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Schroders (UK) SustainEx scoops first place for Impact Reporting in the Environmental
Finance IMPACT Awards 2020
38
Schroders delighted to announce that Schroders’ SustainEx investment framework has been awarded first place for Impact Reporting and Impact Measurement in
the Environmental Finance IMPACTAwards 2020. A panel of twelve judges made up of renowned impact investors globally concluded that Schroders was a leader
in this space. The judges recognised Schroders’ success in developing a robust and unique approach to measuring impact in the form of SustainEx; a holistic
investment framework for quantifying the hidden costs of companies’ social and environmental impact. Global Head of Sustainable Investment, Schroders,
commented: “This award is testament to Schroders’ commitment to sustainability and investment in impact measurement. Understanding how the companies we
invest contribute to, or undermine, social and environmental challenges is increasingly important to investing effectively and responsibly. Social and
environmental changes are reshaping the industries we invest in, and our own industry. We need new thinking to navigate that increasingly complex and
challenging backdrop. We’re proud that effort has been recognised by this award. We are very proud that SustainEx has been recognised as a leader in impact
measurement, and look forward to continuing to support our analysts, fund managers and clients in navigating an increasingly challenging world.”
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SJP (UK) wins 2020 Financial Adviser Diversity in Finance Award
39
St. James’s Place has won the award for ‘Championing LGBTQ Inclusion’ at a ceremony that took place on 2nd September 2020 where we were
separately shortlisted for the ‘Championing Gender Diversity Award’. The Diversity in Finance Awards celebrate individuals who have
demonstrated their support for minority groups and promoted and inspired those who are otherwise under-represented, as well as recognising
companies whose policies, schemes or initiatives encourage and enable diversity in the workplace. “Winning this award is a reflection of the
journey we are on as a business and the distance we have travelled over the past few years. Being recognised for the contribution we are making
to LGBT inclusion makes me proud to work at an organisation that places such importance on inclusion and diversity. I look forward to seeing how
we continue on our journey and build on this success.” says Exec Sponsor for LGBT Inclusion
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Synchrony (USA) Tops PEOPLE’s “Companies That Care” List for Financial Services
Companies
40
Synchrony announced that PEOPLE Magazine, in partnership with Great Place to Work, has ranked the company #8 on its 50 Companies That Care list for 2020 –
topping the list for financial services companies. The ranking recognizes companies that have succeeded in business while also demonstrating outstanding respect, care,
concern, and support for their employees, their communities and the environment during COVID-19. The company offers mental health support and resources,
encourages use of flexible time off for all employees, and launched a virtual summer camp for thousands of Synchrony children. This fall, Synchrony will extend the
successful summer camp experience fall as part of a nationwide afterschool tutoring and enrichment program to support Synchrony parents and their children. Through
a grassroots initiative called Gear Up, Synchrony has donated $1 to World Central Kitchen, a non-profit organization that provides meals in the wake of natural disasters,
every time a partner credit card is used for qualifying purchases at local restaurants, up to a maximum donation of $1 million. The company has also offered its 140,000
small- to medium-sized sewing business partners a statement credit for purchasing materials to produce protective masks, gowns and gloves and donating their
homemade PPE locally. The company and the Synchrony Foundation have also partnered with manufacturing, tech and philanthropic communities to make and distribute
thousands of 3D-printed face masks and shields. Synchrony has deepened its partnerships with national non-profits by committing $5 million to help communities hit
hard by the pandemic and an additional $5 million to help small businesses recover and grow. Synchrony launched a new digital resource center, Synchrony Connect
for Small Business, to provide small business leaders with free advice, insights, and best practices.
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Synchrony (USA) Named to Working Mother’s 2020 100 Best Companies List
41
Synchrony announced that the company has earned a spot on Working Mother’s annual list of the 2020 100 Best Companies. The 2020 list
recognizes companies for inclusive benefits for working families, including gender-neutral parental leave and accessible, affordable childcare.
Synchrony was also named among the top 85 organizations on Working Mother’s third annual list of the “Best Companies for Dads,” leading in
the areas of paternity leave, childcare, flexible schedules and more. Starting in 2020, Synchrony increased benefits for working families, offering
paid parental leave for 12 weeks and with the onset of the pandemic, extending backup care benefits to 60 days for emergency care for children
and seniors (and more if needed on an individual basis). The company continues to evolve its industry-leading benefits programs based on
employees feedback, increasing its lifetime maximum fertility benefit to $30,000. To help working parents, Synchrony will launch an afterschool
program later this month (Synchrony After School) which will provide virtual tutoring, homework club, extracurricular activities and wellness
support, following the successful launch of Synchrony Summer Camp – a virtual experience for employees’ children designed to educate, engage,
and enrich across a range of topics including health, arts, culture and leadership.
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TD Ameritrade (USA) Institutional’s Veo One® Wins 2020 Wealth Management Industry
Award for Custodian Technology
42
TD Ameritrade Institutional1 is pleased to announce that Veo One®, the next-generation advisor platform that consolidates an advisor’s
technology tools into a unified, fully integrated experience, has received the 2020 Wealth Management Industry Award for technology from Wealth
Management,an independent news organization covering the financial advice business. The award recognizes Veo One for outstanding
achievement in technology among custodians with $25 billion or more in assets. Over the past year, TD Ameritrade has made significant
enhancements to the platform, including faster overall performance and increased third-party technology integrations. Veo One also now offers
new features and functionality, including an AI-powered Virtual Agent for anytime service support; screen-sharing capabilities for advisors, clients
and TD Ameritrade associates; streamlined access to loans; benchmarking tools; on-demand education resources; and fully digital new-account
opening. Veo One, built on state-of-the-art technology, offers advisors a significant upgrade to the legacy Veo platform and takes open-access to
the next level. Veo One is the culmination of years of close collaboration with advisors and industry-leading developers. With one sign-on, advisors
can access dozens of third-party solutions seamlessly. Veo One is now accessible to all RIAs that custody with TD Ameritrade, which includes
more than 46,000 users at over 7,000 advisory firms.
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Yuanta (Taiwan) FHC Excels in Sustainable Development and Won CommonWealth CSR Award
43
Yuanta Financial Holding Company (FHC) aims to become an international benchmark enterprise for sustainability and has won the 2020 CommonWealth Magazine
Corporate Social Responsibility (CSR) Corporate Citizenship Award for Large-Scale Enterprise New Star Award for its outstanding performance in its first participation
in the competition, out of more than 200 leading companies in Taiwan. The “CommonWealth Corporate Citizenship Award” makes reference to international benchmarks
and assessment methods, and evaluates companies in the four aspects of corporate governance, corporate commitment, social engagement, and environmental
sustainability to select the most promising new-value companies in Taiwan. Among the four major aspects, Yuanta FHC’s performance in environmental sustainability
and social engagement was recognized by the judges. According to CommonWealth Magazine, Yuanta FHC has adopted the framework of the Task Force on
Climate-related Financial Disclosures (TCFD) and signed the Science-Based Targets (SBT) for carbon reduction, etc., all of which demonstrate its ambition to invest in
CSR. In the aspect of social engagement, the judging panel was impressed by the high level of participation by Yuanta’s corporate volunteers and the fact that former
volunteers returned to their hometowns to help local students and children. Yuanta FHC believes that business development should be based on sustainable operation and
establish a management and service model that conforms to ESG (environmental, social, and corporate governance) operation in the pursuit of sustainable development.
Yuanta FHC has been ranked in the top 5% of Taiwan Stock Exchange’s Corporate Governance Evaluation for five times, showing its excellent reputation in corporate
governance. This time, Yuanta FHC tops the list in corporate governance in the CommonWealth Corporate Citizenship Award. In addition to constantly reviewing and
improving the current management mechanisms, Yuanta FHC conducts an internal self-evaluation every year and an external performance evaluation every three years.
We also enhance the quality of our operations through transparent financial business management practices and strive to meet the highest standards of corporate
governance in the financial sector.
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EBS eFix Matching to adopt MOEX FX fixings
44
Moscow Exchange has authorised the use of its MOEX USD/RUB 12:30 FX fixing and МОЕХ EUR/RUB 12:30 FX fixing by CME Group’s EBS eFix Matching
Service platform. This will promote the MOEX FX fixings among a wider range of international banks and their clients on the global market and strengthen their
status as the main global FX benchmarks for the Russian ruble. According to the terms of license agreement, EBS eFix Matching will be able to provide the RUB
fixing matching service for the international banks using MOEX fixings as the primary settlement rate in cash-settled ruble OTC forwards and options (NDFs and
NDOs). Since 2016, Moscow Exchange has had an agreement with CME Group to provide the MOEX USD/RUB benchmark to settle the exchange’s
ruble-denominated currency futures and options. EBS and its eFix Matching platform has been part of CME Group since 2018. The daily turnover of the global
Russian ruble NDF/NDO market is estimated at USD 4-5 billion. Major market participants are large international banks offering NDFs for hedging currency
fixing risk, big Russian banks and global bank subsidiaries in Russia. Moscow Exchange publishes the USD/RUB, EUR/RUB and CNY/RUB FX fixings used as
the principal settlement (reference) rate for OTC ruble derivatives (NDFs, NDOs), as well as the USD/RUB FX swap fixings (for swaps with maturities from one
week to one year). The MOEX USD/RUB FX fixing is used to calculate the final settlement price of the MOEX currency futures contract. MOEX USD/RUB FX
fixing is officially used by non-deliverable ruble derivatives market participants as the internationally recognized RUB FX benchmark; it undergoes annual
assurance reviews for compliance with the IOSCO Principles for Financial Benchmarks, is also in the ISDA's FX Definitions and has been recommended by the
Emerging Markets Traders Association (EMTA) for using by its OTC FX members.
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Voya Financial (USA) Selected as New Service Provider for Washington State Department
of Retirement Systems
45
Voya Financial, Inc., announced that its Retirement business has been selected as the new record-keeper for the Washington State Department of Retirement
Systems (DRS). Cammack Retirement Group, an independent defined contribution plan consultant, assisted DRS in its competitive bid and evaluation
process. DRS serves a diverse population of 335,000 state and local government employees working in Washington — including firefighters, teachers and
police officers. DRS administers one of the most complex retirement systems in the U.S., which consists of eight individual retirement systems with 15
different plans within those systems. DRS also administers the state’s Deferred Compensation Program, which is a supplemental savings program for state
and local government employees. Effective Sept. 21, 2020, DRS transitioned more than $20 billion in assets under administration to Voya’s record-keeping
platform. As part of its commitment to advancing the retirement readiness of all Americans, Voya will provide DRS customers with localized support and
access to industry-leading educational tools and resources. These include Voya’s myOrangeMoney® retirement-income-estimating capabilities and
participant website experience, as well as communication and education programs designed to engage and motivate employees to save and achieve their
financial wellness goals.
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Voya Financial (USA) Selected as New Service Provider for Sibley Heart Center Cardiology
Retirement Plan
46
Voya Financial, Inc., announced that its Retirement business has been selected as the new recordkeeper and service provider for the Kidsheart 401(k) Profit
Sharing Plan for Sibley Heart Center Cardiology. Treating more than 40,000 children annually, Sibley Heart Center Cardiology provides comprehensive
cardiac services for congenital and acquired heart disease from infancy through young adulthood, as well as prenatal diagnostics. It is one of the largest
pediatric cardiac programs in the country and is located in Atlanta. As of Sept. 1, 2020, the organization’s 401(k) plan serves more than 300 participants and
represents approximately $53 million in assets. The plan transitioned to Voya’s administrative recordkeeping platform this past summer. As part of its
commitment to advancing the retirement readiness of all Americans, Voya will provide plan members with localized support and access to industry-leading
educational tools and resources. These include Voya’s myOrangeMoney® interactive and educational participant website experience, as well as
communication and education programs designed to engage and motivate employees to save and achieve their financial wellness goals. Aon Investment
U.S.A., an independent defined contribution plan consultant, assisted Sibley Heart Center Cardiology during its competitive bid and evaluation process.
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“Alexa, Pay for Gas” Goes Live Nationwide
47
Fiserv, Inc., a leading global provider of payments and financial services technology solutions, alongside Amazon and ExxonMobil, announced that
“Alexa, pay for gas” is now live at more than 11,500 Exxon and Mobil stations in the United States. Beginning, consumers with Alexa-enabled vehicles,
devices like Echo Auto, or the Alexa app on smartphones can simply say, pay and be on their way when they fuel up at an Exxon or Mobil station. When
customers pull up to the pump and say, “Alexa, pay for gas,” Alexa will confirm the station location, pump number, and then activate the pump. The
customer can then select the fuel grade on the pump and begin fueling, with payment completed automatically after fueling. The commerce experience
– including geo-location at Exxon and Mobil stations, pump activation, payment processing, and payment tokenization – is powered by digital
commerce technology from Fiserv. “Alexa, pay for gas” payments are made digitally via Amazon Pay, allowing consumers to securely use the payment
method associated with their Amazon account; no additional sign-up or separate account is required. Originally announced at CES 2020 as a way to
transform the way people pay at the pump, the practicality of voice-enabled commerce experiences like “Alexa, pay for gas” has grown throughout the
year as consumers increasingly adopt contactless payments.
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Financial Institutions Can Empower Consumers to Securely Share Their Data with New
Aggregation Solution from Fiserv(USA)
48
Financial institutions can meet growing demand from consumers to access their account information when and where they choose with a new
aggregation solution from Fiserv, Inc., a leading global provider of payments and financial services technology solutions. AllData® Connect provides
a single point of access for third-party aggregation activity, simplifying the complexities of an expanding aggregation market for banks and credit
unions and streamlining consumers’ ability to share their data. Aggregation is a process through which information from multiple sources is collected
and presented in a single location. Consumers are increasingly using a wide range of third-party applications to meet their financial needs, many of
which rely on consumer-permissioned access in order to aggregate financial account information. This can create challenges for banks and credit
unions, which currently have limited control over the timing or volume of data requests by third parties, or the security protocols used to protect this
information. Built on decades of Fiserv aggregation experience, AllData Connect facilitates secure and transparent account aggregation processes for
Fiserv client financial institutions. AllData Connect enables consumer data consent by directing consumers to a Fiserv-hosted portal where they validate
their identity and provide consent to share their data. Fiserv validates their credentials and keeps their information secure within its firewall. Using
industry-standard file formats modeled after the Durable Data API format sanctioned by the Financial Data Exchange (FDX), AllData Connect then
delivers data to third-party applications for a specific application or transaction. This eliminates the need for third parties to acquire consumer data via
screen scraping of the financial institution website.
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Retailers Meet Customer Demand to “Buy Now, Pay Later” with Installment Payment
Option from Fiserv(USA)
49
Retailers using digital commerce technology from Fiserv, Inc. a leading global provider of payments and financial services technology solutions, can
now enable customers to pay for their purchases with interest-free installment payments. For retailers, installment payments can help reduce online
shopping cart abandonment and increase overall ticket size. For consumers, particularly those without access to a credit card, a “Buy Now, Pay Later”
(BNPL) option can enable better budgeting for purchases. Fanatics, the global leader for licensed sports merchandise, will enable customers to pay in
installments through digital commerce technology from Fiserv in relationship with QuadPay (ASX:Z1P). Fanatics customers will be able to use
installment payments when shopping across the company’s owned roster of online stores, including Fanatics.com, FansEdge.com,
SportsMemorabilia.com and international properties, or via the Fanatics mobile application by choosing QuadPay as a payment option during checkout.
Fanatics customers paying with QuadPay will be able to split payment into four interest-free installments spread over a six-week period, giving them
the flexibility to budget purchases.
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Kargo and AMP Project Partner To Bring Optimized Mobile Creative To AMP
50
Kargo, the leader in mobile advertising, is announcing a partnership with the AMP Project to offer media buyers access to a selection of Kargo’s mobile
optimized ad product suite, including the Kargo Sidekick unit, across AMP pages starting in October. The partnership gives Kargo the ability to bring
their proprietary ad units to unique AMP inventory, which advertisers can now take advantage of on AMP. The partnership is in response to requests
from advertisers and publishers to increase media buying opportunities and creative ad executions on AMP. Kargo is the first integration partner to offer
optimized custom-ad formats on AMP. AMP is an open-source javascript framework for publishers, originally created by Google and now a part of the
OpenJS Foundation, that speeds up page load times and keeps the pages consistently performant over time. With the new partnership, advertisers can
reach their preferred audience across AMP environments with high-impact, mobile-first creatives. This will bring publishers new opportunities to
monetize AMP traffic, a major goal for many publishers using the technology.
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TriOptima Extends Collaboration with AcadiaSoft to Improve Industry Standard for Collateral
Interest Payments Processing
51
TriOptima has extended its collaboration with AcadiaSoft to automate monthly collateral interest payments, making trade processing more efficient for
over-the-counter (OTC) market participants. According to International Swap Dealers Association (ISDA) data, cash collateral accounts for
approximately 70% of all collateral exchanged for non-cleared derivatives, equivalent to $1.3 trillion in 2019 alone. A significant proportion of this
market still relies on email and manual reconciliation to manage the interest process. Now, with TriOptima's expanded support for AcadiaSoft's new
interest payments messaging, the wider industry can benefit from increased efficiencies. TriOptima is a part of CME Group. As the world's leading and
most diverse derivatives marketplace, CME Group (www.cmegroup.com) enables clients to trade futures, options, cash and OTC markets, optimize
portfolios, and analyze data – empowering market participants worldwide to efficiently manage risk and capture opportunities. CME Group exchanges
offer the widest range of global benchmark products across all major asset classes based on interest rates, equity indexes, foreign exchange, energy,
agricultural products and metals. The company offers futures and options on futures trading through the CME Globex® platform, fixed income trading
via BrokerTec and foreign exchange trading on the EBS platform. In addition, it operates one of the world's leading central counterparty clearing
providers, CME Clearing.
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IHS Markit and Tokyo Stock Exchange to Combine Data, Creating a Unique Japanese Securities
Finance Data Set
52
IHS Markit Securities Finance and Tokyo Stock Exchange, Inc. (TSE), are combining mutually exclusive market data into a comprehensive
and invaluable short selling and stock loan dataset. The combined IHS Markit and TSE dataset provides five years of historical data across
3,700 Japanese yen-denominated (JPY) equities – including inventory and lendable assets totaling 100 trillion yen and on-loan assets
exceeding 12 trillion yen – with daily breakdowns of trading volume and trading value data(*) for all TSE-listed stocks. The TSE dataset
disseminates fragmented data extracted from daily trading value and volumes (only regular auction trading sessions on the TSE market) of
TSE-listed issues based on flags for margin transactions and short selling that are attached to orders at the time of placement.
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