Broker-dealer
London-based banks face ECB Brexit power grab
Drive to supervise swaps books from Frankfurt threatens cross-border balance sheet management
Broker rankings 2017: survival of the biggest
Having a larger firm to stand under as compliance costs soar could be the best bet for the year ahead
Dealerweb doubles repo volume on electronic trading boost
Single-fee model gains traction among repo traders
Sponsored video: Frits Vogels, ICAP
Frits Vogels, chief executive officer, EMEA Broking at ICAP, shares his thoughts on the future of the interdealer broking markets
Interdealer brokers consolidate to survive
Four of top five firms in this year's rankings are involved in deals
SEC leverage ratio meetings alarm broker-dealers
US Treasury spread trades could face 850-fold jump in capital requirements
Risk Interdealer Rankings 2015: Competition heats up
Rankings tell a story of increasing competition
Thomas Hoenig: ending swaps push-out was a mistake
"I want to see more capital held against these activities," says FDIC vice-chair
Mifid II threatens dealing commissions and broker research
Ring-fenced research pots required to cut out inducements
Should Derivatives Dealers Make A Funding Value Adjustment?
By: John Hull, Alan White
Finra rejects ‘more than half’ of structured product adverts
‘Blast emails’ to retail investors a major offender under Rule 2210
Finra bears down on complex structured products
Topping the regulator's list of priorities for 2014 is ensuring that US brokers make adequate enquiries before offering complex products to retail investors
CFTC extends no-action relief to sole Asian Sef
Australia-based Yieldbroker can continue to service US clients while CFTC considers its Sef application.
JVB name to remain after merger with PrinceRidge bolsters structured products
The two structured products distributors will operate as a single entity after parent company announces redundancies affecting 20% of staff
US broker-dealers face higher costs from new customer care standard
Uniform fiduciary standard may raise the bar for investment advisers and broker-dealers
Volume of AML fines set to rise, expert warns
Smaller institutions face greater AML scrutiny, expert says
Operational risk management and productivity
Financial companies can benefit from analysis of the relationship between volume and production costs
PrinceRidge sings the praises of structured products
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
Operational risk issues in the broker-dealer sector
Intensive exposure
Brokers lift the lid on swaps-to-futures confusion at Ice
When swaps become futures
Risk interdealer rankings 2012 - PLEASE VOTE
Have your say in this year's Risk interdealer derivatives survey
Mifid amendments lift barrier to brokers owning OTFs
Tweaks to Mifid text would allow owners of OTFs to engage in matched principal trading
Custody Risk Americas Awards 2012 – Broker/Dealer Custody & Clearing Provider of the Year: JP Morgan
Broker/Dealer Custody & Clearing Provider of the Year: JP Morgan
SEC AML initiative not clearly defined, lawyer warns
SEC/CFTC Capital Markets Working Group could be "just another talking shop"