18 December 2013North Carolina Reporter: Georgina Lavers
The Securities and Exchange Commission has charged the managing partners of a North Carolina-based investment advisory firm for compromising their independent judgment...
TradeStation has implemented new "unbundled" equities commission pricing designed to benefit traders who trade very actively and seek lower trading costs...
IOSCO made four recommendations that seek to promote market liquidity and efficiency, price transparency, and investors' execution quality in a fragmented environment...
New hedge fund launches declined to the lowest level in nearly three years in Q3 2013, while the number of hedge fund liquidations rose to the highest level since Q4 2012, according to the HFR Market Microstructure Industry Report...
Russian-based investors and brokers will be able to issue and cancel depository receipts in Russian companies thanks to an agreement between the National Settlement Depository (NSD), Russia’s central securities depository, and BNY Mellon...
The investment banking arm of Japan’s Daiwa Securities Group has successfully transferred its multi-billion dollar repo business onto Torstone Technology’s back-office processing platform, Inferno...
12 December 2013Washington DC Reporter: Mark Dugdale
New rules in the US on securities loans and borrowings, permissible uses of customers’ securities, and callable securities have received Securities and Exchange Commission approval...
The European Commission’s approach to the enhanced cooperation behind the Financial Transaction Tax has been “unjustified and misconceived”, according to a UK House of Lords committee...
