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FINRA chairmen to retire in 2016


02 November 2015 New York
Reporter: Drew Nicol

The Financial Industry Regulatory Authority’s (FINRA) chairman and CEO Rick Ketchum is retiring in the second half 2016...
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Retail channels see ETF growth


02 November 2015 New York
Reporter: Drew Nicol

There was a 7.4 percent growth in exchange-traded funds assets from January to 30 September, according to the Broadridge Financial Solutions Fund Distribution Intelligence...
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US interest rate hike will come in December


30 October 2015 New York
Reporter: Drew Nicol

The first US interest rate hike is expected in December, according to the Securities Industry and Financial Markets Association’s (SIFMA) Quarterly Issuance Survey results...
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European Parliament passes SFTR


30 October 2015 Brussels
Reporter: Drew Nicol

The European Parliament has agreed to adopt new transparency regulation for securities finance...
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BCBS faces challenge over leverage ratio


30 October 2015 Basel
Reporter: Stephanie Palmer

A group of 13 derivatives exchanges and clearing members have signed a letter to BCBS urging it to address the unintended consequences of the leverage ratio using the current exposure method...
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Bank of England calls on ISLA to help OTC market


29 October 2015 London
Reporter: Drew Nicol

The Bank of England has invited the International Securities Lending Association to participate in a sub-group to assist with the implementation of the new term deliver-by-value mechanism into the over-the counter market...
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Russia’s NSD grows repo market


29 October 2015 Moscow
Reporter: Drew Nicol

The collateral management system of Russia’s National Securities Depository processed repo transactions with the Federal Treasury worth RUB 4.6 trillion during Q3, accounting for more than a third of overall value...
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SEC settles insider trading charges


29 October 2015 Arizona
Reporter: Drew Nicol

The US Securities and Exchange Commission has settled a case of insider trading and tipping against a senior figure of a real estate firm...
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Two US broker barred for fraud


28 October 2015 Connecticut
Reporter: Drew Nicol

Two US brokers have been barred from practicing and fined by the Securities and Exchange Commission for defrauding customers and sharing personal order information for financial gain...
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SunGard’s hottest stocks


28 October 2015 London
Reporter: Drew Nicol

SunGard’s Astec Analytics has compiled its list of the most desirable stocks for securities lending for the week beginning 26 October...