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Clearing Corporation of India now a CCP
02 January 2014 Mumbai
Reporter: Georgina Lavers

The Reserve Bank has made the Clearing Corporation of India a qualified central counterparty...

Jürg Spillmann hangs up his hat at Eurex
02 January 2014 Frankfurt
Reporter: Georgina Lavers

Long-standing executive board member Jürg Spillmann has decided to retire at the end of the year from the executive boards of the Eurex companies...

Celent promotes David Easthope
24 December 2013 San Francisco
Reporter: Georgina Lavers

Research and consulting firm Celent has named David Easthope as senior vice president of its securities and investments group...

FINRA slaps Deutsche with $6.5 million fine
23 December 2013 Washington
Reporter: Georgina Lavers

The Financial Industry Regulatory Authority (FINRA) has fined Deutsche Bank Securities $6.5 million due to financial and operational deficiencies in its enhanced lending programme...

Ananias Blocker joins SIFMA
23 December 2013 New York
Reporter: Georgina Lavers

SIFMA has appointed Ananias Blocker as executive vice president of public policy and advocacy...

Sean Trager joins Wedbush for prime brokerage
20 December 2013 Los Angeles
Reporter: Georgina Lavers

Wedbush Securities has hired Sean Trager to spearhead the firm’s prime brokerage offering...

Silvercorp fraud battle rages on
20 December 2013 British Columbia
Reporter: Georgina Lavers

Jon Richard Carnes has been accused of committing fraud by the British Columbia Securities Commission, after he denounced Silvercorp on his blog and then made $2.8 million selling it short...

Court case throws up implication for lending agents
19 December 2013 New York
Reporter: Georgina Lavers

In their analysis of the court case between AP-Fonden and BNY Mellon, law firm RPC has stated that the judgement against the bank underscores the need for securities lending agents to act fairly when communicating with their clients...

Equity hedge fund assets achieve five-year high
19 December 2013 New York
Reporter: Daniel Jackson

Institutional investment research firm eVestment found that hedge funds are on track for assets to rise $256 billion in 2013, an 80 percent increase over the rise seen in 2012...

SEC shuts down NIR Capital Management
18 December 2013 North 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 adjusts pricing on equities
18 December 2013 Florida
Reporter: Georgina Lavers

TradeStation has implemented new "unbundled" equities commission pricing designed to benefit traders who trade very actively and seek lower trading costs...

IOSCO publishes regulatory issues report
17 December 2013 Madrid
Reporter: Daniel Jackson

IOSCO made four recommendations that seek to promote market liquidity and efficiency, price transparency, and investors' execution quality in a fragmented environment...