E*TRADE Securities and E*TRADE Clearing are to jointly pay a USD280,000 civil monetary penalty to settle CFTC charges over non-compliance with applicable record-keeping rules and failure implement diligent supervision. Both entities have their headquarters in Chicago, Illinois. The CFTC
Shore Capital Partners (Shore Capital) has formed Southern Ear, Nose, Throat and Allergy Partners (SENTA) and completed a strategic partnership with Northwest ENT and Allergy Center (Northwest ENT). Northwest ENT is a leading ear, nose and throat (ENT) and allergy
This is the second in a series of four articles from the DMS Client Solutions Team, bringing you a unique perspective on the challenges and opportunities presented by the shifting European regulatory landscape. In last week’s article Daniel Forbes explored
StakeHound is to launch the first tokens that allow access to DeFi while earning staking rewards, unlocking USD20 billion in liquidity for the Ethereum and Radix ecosystems. Incubated by Radix, the first layer-one protocol for DeFi, StakeHound will provide a seamless
Quintillion, the European-based affiliate of US Bancorp Fund Services, has expanded its middle office services to include a specialised DTCC reconciliation offering for the OTC derivative and credit spaces. Quintillion clients using DTCC (The Depository Trust & Clearing Corporation) for
FINCAD, a provider of valuation and risk analytics for multi-asset derivatives and fixed income portfolios, has enhanced its F3 solution with advanced scenario analysis capabilities and a more flexible reporting framework. The enhancements enable improved portfolio and risk management decisions,
New academic research by Plato Investment Management’s Head of Long Short Strategies, Dr David Allen, has highlighted the need for investors to move beyond the traditional “bell-shaped” normal distribution assumption that underpins much of industry practice.Dr Allen’s research paper, titled
The Vienna Stock Exchange has begun calculating new Short Indices based on the Austrian Traded Index (ATX). The new indices with a leverage of -12 and -15 are based on the ATX Total Return which takes into account the dividend
Hedge funds were up 1.28 per cent in October with 2017 year-to-date gains coming in at 6.99 per cent – roughly 77 per cent of fund managers are in positive territory year-to-date, while almost 32 per cent have posted double
Alternative data specialist Eagle Alpha has released a China Auto Insight (CAI) dataset designed for buy-side investment managers through an exclusive partnership with a Chinese financial automotive consultant. The dataset will enable investment managers to capture unique insights into the
