Tag: securities

MC cools significantly but remains the global top earner. The generated $1.06 billion in revenue for lenders in May 2023, according to DataLend, the market...

Most people that open a bank account know little about the financial services out there. Often, we opt to default the savings (or other)...

“The European alternative UCITS industry has been growing since the third iteration of the UCITS (Undertakings for Collective Investment in Transferable Securities) directive came...

In March 2013, the Securities and Exchange Commission (SEC) proposed new rules designed to strengthen the technology infrastructure of certain participants in U.S. securities...

The Public Company Accounting Oversight Board (PCAOB) — a non-profit corporation created by the Sarbanes-Oxley Act of 2002 — was established to oversee accounting...

One of the salient regulatory rules to emerge from the Dodd-Frank Wall Street Reform Act was the “custody rule” mandating that an investment adviser...

A Florida securities firm owner operated two websites through which he offered by subscription a “stock analyzer” touted as utilizing mathematical algorithms to identify...

Six federal agencies have approved the final rule requiring sponsors of securitization transactions to retain risk in those transactions. The rule is an implementation...

Much hype has surrounded the outreach efforts of the Securities and Exchange Commission (SEC) to “engage” the private fund industry. The campaign supposedly is...

An Ohio securities firm has been fined and its owner-president suspended over findings by the Financial Industry Regulatory Authority, Inc. (FINRA) of inadequate branch...

  Apart from the many investment strategies define previously, Fixed Income Arbitrage is another move used by institutional traders. It is particularly popular with Hedge...

In 2003, the U.S. government founded the Fixed Income Clearing Corporation (FICC) to oversee confirmation, settlement and delivery of fixed-income assets in the United...

Sometimes people use the terms hedge funds and mutual funds interchangeably, which is incorrect as they have some marked differences between them.  First, let’s...

Equity Long-Short Defined Understanding the financial and investment market requires some knowledge of basic principles of buying and selling securities. There are a number of...

Following the 2008 financial crisis, the European Commission (EC) enacted new regulations affecting the way National Central Securities Depositories (CSDs) conduct their business. As...

Hedge funds can be categorized, not only according to the investment strategies used by them, but by the different types of the funds as...

A hedge fund manager who was charged by the Securities and Exchange Commission (SEC ) in 2012 with defrauding clients around the world —...

In May, Argentina’s Economy Minister met with officials of the Paris Club to sign the largest sovereign debt restructuring agreement in history. After defaulting...

The new budget for the year 2015 signals an increase in the tax on businesses. The most important proposal is for investment partnerships that...