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US broker fined for pre-IPO swaps negligence
07 December 2016 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has fined an online broker for failing to register security-based swaps that were sold to shareholders in pre-initial public offering companies...

ICAP reports strong November EU repo
06 December 2016 London
Reporter: Drew Nicol

ICAP Electronic Market recorded a 15 percent year-over-year increase in European repo transactions in November...

Asian exchanges bolster lendable securities lists
06 December 2016 Shanghai
Reporter: Drew Nicol

The Shanghai Stock Exchange, in concert with the Shenzhen Stock Exchange, has significantly increased the number of underlying stocks available for securities lending, while also loosening the reins on margin trading rules...

Shorters round on retailers despite Trump bump-up
05 December 2016 London
Reporter: Drew Nicol

US retailer Restoration Hardware has attracted more than double the short interest than any other firm in North America in the week ahead of earnings, according to an IHS Markit research note...

OCC imbues senior leadership with new CFO
05 December 2016 Chicago
Reporter: Drew Nicol

OCC has brought on former Optiver US CFO Amy Shelly as senior vice president and CFO...

OneChicago enjoys volume boost in November
02 December 2016 Chicago
Reporter: Katherine Brown

Securities finance exchange OneChicago saw its trading volume increase by 35 percent year-over-year as of November...

PIMCO fined $20m for ETF ‘odd lots’ disclosure failure
02 December 2016 Washington DC
Reporter: Drew Nicol

Investment management firm PIMCO has been fined $20 million by the US SEC for misleading investors about the performance of one its first actively managed ETFs...

OCC sees sec lending growth in November
02 December 2016 Chicago
Reporter: Drew Nicol

OCC's securities lending central counterparty activity was up 35 percent in new loans in November...

EXCLUSIVE: ISLA's Davis heads to J.P. Morgan
01 December 2016 London
Reporter: Drew Nicol

The International Securities Lending Association's Claire Davis has shifted gear to take on a new role as part of J.P. Morgan's agency lending program...

Small caps offer revenue through Russell 2000 ETFs
01 December 2016 New York
Reporter: Drew Nicol

Savvy investors are leveraging exchange-traded funds that track the Russell 2000 Index to access the juicy revenues available in the US small cap equities market through securities lending programs...

GCF: African investors coming of age
30 November 2016 London
Reporter: Drew Nicol

The rise of local institutional investors in Africa has allowed for capital markets on the continent to continue to develop, despite overall market slowdown...

GPP builds up new structured products team
30 November 2016 London
Reporter: Stephanie Palmer

Global Prime Partners has made a spate of senior hires, including Mike Ward as head of new business development, ahead of the launch of its new structures products business...