Broker-dealer
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
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
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"
US distributor of the year
US distributor of the year
Vote now for the Risk Australia rankings 2011
Choose your top three counterparty dealers in order of preference in the following five product categories: interest rate, currency, commodity, equity and credit derivatives.
Isda AGM: 2011 Margin Survey shows decrease in collateral agreements
Survey released today in Prague also shows increases in portfolio reconciliation
US regulation update
Caught in the net?
Asia Risk interdealer rankings 2010: Dealers
Strong and steady
Asia Risk interdealer rankings 2010: Brokers
Local markets lift-off
MF Global fuel oil brokers to move to Spectron
Several fuel oil swaps dealers at brokerage MF Global are reported to be moving to rivals Spectron