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31-45 of 316 results
Charles River boost FX trading services with 360T's electronic quotes & execution
By BBR Staff Writer
Charles River, an investment management services provider, has introduced an integrated electronic quotes and execution for foreign exchange in its Investment Management Solution (Charles River IMS).
Intermediaries > Prime Brokerages > News
Interbolsa to use SWIFT’s value added network to connect to T2S
By BBR Staff Writer
Interbolsa, Portugal's central securities depository (CSD) operator, has signed an agreement to use SWIFT’s Value Added Network (VAN) solution plus integration tools to connect to T2S.
Intermediaries > Prime Brokerages > News
Pershing, BNY Mellon to deliver integrated bank and brokerage custody offering
By BBR Staff Writer
Pershing Advisor Solutions and BNY Mellon’s Wealth Management Advisor Custody Group have teamed up to deliver a single-service integrated bank and brokerage custody offering, which will benefit advisors who serve ultra/high-net-worth investors.
Intermediaries > Prime Brokerages > News
Opes Advisors names new vice president for mortgage banking division
By BBR Staff Writer
A mortgage banking and wealth management firm Opes Advisors has appointed Anna M. Ruotolo as vice president of Business Development for the Mortgage Banking division.
Intermediaries > Prime Brokerages > News
SEC penalizes Level Global Investors for insider trading
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has fined over $21.5m to Level Global Investors, a Greenwich, Connecticut based hedge fund advisory firm over frequent insider trading in Dell and Nvidia Corp securities.
Intermediaries > Prime Brokerages > News
SEC sues ex-Rochdale Securities broker for fraud trading
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has sued David Miller, a former employee of Connecticut-based Rochdale Securities broker, for creating a scheme and placing unauthorized orders to purchase Apple stock for personal benefit.
Intermediaries > Prime Brokerages > News
Citi presents new custody services for segregated collateral accounts
By BBR Staff Writer
Citi has added segregated collateral custody Accounts to its Citi OpenInvestor suite of investment services, to enable clients to effectively diminish counterparty risk, offer asset safety, and improve collateral efficiency.
Intermediaries > Prime Brokerages > News
Cetera to acquire MetLife’s independent broker-dealer affiliates
By BBR Staff Writer
Independent broker-dealer and investment adviser, Cetera Financial Group has entered into a definitive agreement to acquire Tower Square Securities and Walnut Street Securities from MetLife, for an undisclosed sum.
Intermediaries > Prime Brokerages > News
SEC sues hedge fund manager, brokerage CEO for defrauding investors
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has announced charges against a Houston-based hedge fund manager and his firm for defrauding investors in two hedge funds and steering bloated fees to a brokerage firm CEO, who also is charged in the SEC’s case.
Intermediaries > Prime Brokerages > News
SEC sues Rengan Rajaratnam over massive insider trading scheme
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has sued Rajarengan ‘Rengan’ Rajaratnam for his alleged role in the insider trading case managed by Raj Rajaratnam and hedge fund advisory firm Galleon Management.
Intermediaries > Prime Brokerages > News
SEC sues Sigma Capital for insider trading
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has charged Sigma Capital Management, a hedge fund advisory firm, over an insider trading case executed ahead of the quarterly earnings announcement of Dell and Nvidia.
Intermediaries > Prime Brokerages > News
Pierpont Securities consolidates operations with Cortview after FINRA approval
By BBR Staff Writer
SEC-registered broker-dealer Pierpont Securities has completed the final phase of acquisition and consolidation of Cortview Capital Holdings (Cortview), following approval from the Financial Industry Regulatory Authority (FINRA).
Intermediaries > Prime Brokerages > News
Morgan Stanley to offload EMEA-Based global stock plan services business
By BBR Staff Writer
US investment bank Morgan Stanley has entered into an agreement to dispose of EMEA-based part of its Global Stock Plan Services business (GSPS EMEA) to Computershare, for an undisclosed sum.
Intermediaries > Prime Brokerages > News
SGX may acquire stake in LCH.Clearnet
By BBR Staff Writer
The Singapore Exchange (SGX) is negotiating with London-based LCH to purchase a stake in the transatlantic clearing house, LCH.Clearnet.
Intermediaries > Prime Brokerages > News
SEC penalizes hedge fund manager for insider trading in Chinese bank stocks
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has sued Sung Kook ‘Bill’ Hwang, the founder and portfolio manager of Tiger Asia Management and Tiger Asia Partners, over insider trading by short selling three Chinese bank stocks.
Intermediaries > Prime Brokerages > News
31-45 of 316 results