23 December 2013Washington 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...
20 December 2013British 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...
19 December 2013New 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...
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...
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...
