Australia-based Yieldbroker can continue to service US clients while CFTC considers its Sef application.
The two structured products distributors will operate as a single entity after parent company announces redundancies affecting 20% of staff
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
Insurance Risk and BNY Mellon have conducted a survey to look at how insurance companies are preparing for the new regime and the opportunities and challenges that the changes will bring.
More Broker-dealers articles
PrinceRidge Group distributes structured products to a client base that includes leading broker-dealers across the US. Yakob Peterseil talks to managing director Joe Castelluccio about what he has learned in 35 years on Wall Street
Broker-dealers face significant operational risks, especially when they allow customers direct access – Marcelo Cruz discusses the threats to a critical part of the financial industry
The conversion of over-the-counter energy swaps to futures at Ice has been hailed as a seamless transition, but there is an alternative history – of last-minute decisions, U-turns and confusion that left some market participants scrambling to keep up....
Tweaks to Mifid text would allow owners of OTFs to engage in matched principal trading
This paper discusses a number of diverse considerations that risk managers need to incorporate into their thought processes and recurring procedures if they are to fulfill their role more effectively in the future
USA, 9th Dec 2013
USA, 10th Dec 2013
UK, 18th Dec 2013
UK, 12th Feb 2014
UK, 13th Feb 2014
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