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Gavel and scales

SEC charges CBOE for regulatory failures

Wed, 12/06/2013 - 10:05

The Securities and Exchange Commission has charged the Chicago Board Options Exchange (CBOE) and an affiliate for various systemic breakdowns in their regulatory and compliance functions as a self-regulatory organisation, including a failure to enforce or even fully comprehend rules to prevent abusive short selling. »

Peter Trevisani, Thornburg’s head of global distribution

Thornburg opens office in London

Wed, 12/06/2013 - 06:30

Thornburg Investment Management (TIM), the USD87bn asset manager, has opened an office in London to enhance its global distribution capabilities. »

Shares

ALTIN evaluates different options for its share buyback programme

Wed, 12/06/2013 - 06:00

ALTIN, the Swiss alternative investment company, is currently evaluating different options to implement the share buyback programme announced in March 2013 to acquire up to 10 per cent of the share capital. »

Red wine

Fine wine flat as a pancake in May

Tue, 11/06/2013 - 16:06

May was a quiet month in terms of price movements for fine wine although volumes remained reasonable. »

Trading screens

Torstone's Inferno exceeds one million transactions per hour for post-trade processing

Tue, 11/06/2013 - 14:25

Torstone Technology, a provider of securities and derivatives processing software to the global financial markets, recently showed that its Inferno back office system is capable of processing one million transactions per hour. »

Hong Kong

Gilbert Tse appointed head of Lyxor for Asia

Tue, 11/06/2013 - 14:05

Lyxor Asset Management has appointed Gilbert Tse as head of Lyxor for Asia. »

Lee Porter, head of Liquidnet Asia

Liquidnet sees record growth and membership engagement in Asia Pacific

Tue, 11/06/2013 - 13:57

Liquidnet, the institutional trading network, has reported a series of Asia Pacific trading records in May, including a record month of principal traded and the highest volume traded in a single day, since launching in the region five years ago. »

Handshake

Argonaut appoints George Adam as regional sales manager

Tue, 11/06/2013 - 12:00

Argonaut Capital Partners, a specialist in managing European equities, has appointed George Adam as regional sales manager. »

David Beatrix, senior business developer for OTC derivatives at BNP Paribas Securities Services

Negotiating the collateral management paradigm shift under Dodd Frank & EMIR

Tue, 11/06/2013 - 11:42

Phase 1 of Dodd Frank commenced in March this year, requiring swap dealers and major swap participants to clear their OTC derivative contracts (i.e. liquid IRS and CDS) through central counterparties (CCPs). With Phase 2 commencing in June, buy-side firms in the US are now fully engaged in getting operationally ready. »

Electronic trading floor

Major clearing brokers support Clearing Connectivity Standard

Tue, 11/06/2013 - 09:59

Four of the largest over-the-counter (OTC) derivatives clearing brokers have confirmed their support for the Clearing Connectivity Standard (CCS) initiative to standardise reporting for cleared OTC derivatives. »

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