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46-60 of 316 results
BNP Paribas offers post -trade service for LSE-SGX cross-trade project
By BBR Staff Writer
BNP Paribas Securities Services (BNP Paribas) has unveiled its plan to offer an integrated post-trade service to banks, brokers and other financial intermediaries.
Intermediaries > Prime Brokerages > News
SEC sues four Indian brokerage firms for breaching federal securities laws
By BBR Staff Writer
US Securities and Exchange Commission (SEC) has charged four financial services firms based in India for offering brokerage services to institutional investors in the country without registering with the SEC, as per the federal securities laws.
Intermediaries > Prime Brokerages > News
Saxo Bank buys NVN Securities to boost presence in Latin America
By BBR Staff Writer
Online Danish investment bank Saxo Bank has acquired NVN Securities, Agente de Valores, a broker fully licensed by the Uruguayan Central Bank, in an undisclosed deal.
Intermediaries > Prime Brokerages > News
SEC sues four brokers over deceiving customers for $18.7m
By BBR Staff Writer
US Securities and Exchange Commission (SEC) has filed a case in federal court in Manhattan against four brokers for overcharging customers $18.7m through hidden markups and markdowns and secretly keeping portions of profitable customer trades.
Intermediaries > Prime Brokerages > News
Wells Fargo appoints new head of wealth brokerage services’ division
By BBR Staff Writer
Wells Fargo has appointed Jim Hays as the new executive vice president and head of its wealth brokerage services' unit.
Intermediaries > Prime Brokerages > News
BNCCORP, insurers reach settlement agreement
By IBR Staff Writer
North Dakota-based BNCCORP and its insurers have entered into a settlement agreement on fraud related claim, pursuant to which BNC has agreed to settle its claim for $7.5m.
Intermediaries > Prime Brokerages > News
Gleacher & Company names new investment banking, capital markets head
By BBR Staff Writer
Gleacher & Company Securities, a broker-dealer subsidiary of Gleacher & Company, has selected Randolph Barker as the new executive managing director and head of investment banking and capital markets.
Intermediaries > Prime Brokerages > News
CIMB may kick off broking operations in India, South Korea
By BBR Staff Writer
CIMB Group Holdings is seriously contemplating to roll out its broking operations in India and South Korea after acquiring most of Royal Bank of Scotland Group’s Asian investment banking assets.
Intermediaries > Prime Brokerages > News
Knight Capital to get a $400m capital infusion
By BBR Staff Writer
Knight Capital Group has inked a $400m capital financing agreement with a consortium of firms including Blackstone Private Equity, Getco, Ameritrade and Stifel Nicolaus.
Intermediaries > Prime Brokerages > News
Northill Capital to acquire majority interest in Securis Investment Partners
By BBR Staff Writer
Northill Capital has agreed to purchase a majority interest in Securis Investment Partners for an undisclosed sum from Securis’ external partners, including Swiss Re and Stone Point Capital.
Intermediaries > Prime Brokerages > News
SEC charges optionsXpress, Five Individuals for short selling fraud
By BBR Staff Writer
US Securities and Exchange Commission has sued optionsXpress, an online brokerage and clearing agency as well as four officials at the firm and a customer for their involvement in an offensive naked short selling scheme.
Intermediaries > Prime Brokerages > News
Saxo Capital unveils South African operations
By BBR Staff Writer
Saxo Capital Markets, a subsidiary of Saxo Bank Group in Denmark has unveiled its South African operations, where the firm will provide online trading and investment in FX, CFDs, ETFs, Stocks, Futures, Options and other derivatives.
Intermediaries > Prime Brokerages > News
Rodman & Renshaw to debut automated electronic transaction platform
By BBR Staff Writer
Rodman & Renshaw Capital will introduce an automated electronic transaction platform DirectMarkets, which will provide direct access to existing public companies and investors seeking to transact primary offerings of securities.
Intermediaries > Prime Brokerages > News
RBI may approve Enam-Axis deal by next month
By BBR Staff Writer
The sale of Indian brokerage firm Enam Securities to Axis Bank is likely to materialise next month, which is pending for the last 16 months.
Intermediaries > Prime Brokerages > News
ICBA selects ICA as retail brokerage service provider
By BBR Staff Writer
The Independent Community Bankers of America (ICBA) has chosen Investment Centers of America (ICA) as the Preferred Service Provider (PSP) for retail brokerage services.
Intermediaries > Prime Brokerages > News
46-60 of 316 results