JD Supra: Mergers

MAY 16, 2024

On January 24, 2024, the US Securities and Exchange Commission (SEC) adopted final rules relating to special purpose acquisition companies (SPACs) and other shell companies. By: Mintz - Securities & Capital Markets The new rules are effective on July 1, 2024.

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JD Supra: Mergers

JUNE 11, 2024

Securities and Exchange Commission (SEC) and securities exchanges including Nasdaq and NYSE. Procopio Capital Markets and Securities practice leader Christopher Tinen addressed several key issues impacting MicroCap investors in 2024 in a live panel discussion at the Planet MicroCap Showcase in Las Vegas on April 30, 2024.

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The TRADE

NOVEMBER 2, 2023

Abu Dhabi Securities Exchange (ADX) and HSBC Bank Middle East are collaborating to develop digital fixed income securities, with the aim to broaden capital market use cases in the Middle East. The post HSBC and Abu Dhadi Securities Exchange partner to develop digital fixed income securities appeared first on The TRADE.

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Securities Capital Market Collaboration Investment Banking 109

JD Supra: Mergers

FEBRUARY 14, 2024

By: Mintz - Securities & Capital Markets We believe this is the wrong question—we view a reverse merger as "going public" during your cross-over round, rather than as an alternative to an IPO.

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JD Supra: Mergers

NOVEMBER 15, 2023

Equity REITs seeking to grow assets face a challenging interest rate environment and tepid equity capital markets for funding portfolio acquisitions. These ‘OP Unit’ deals involve nuanced securities, tax, real estate and business issues unique to the REIT.

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Portfolio M&A Capital Market Equities 188

The TRADE

JANUARY 9, 2025

Winterflood Securities has become the latest liquidity provider to join OptimX Markets growing sell-side network. The liquidity provider will now be able to access institutional buy-side trading desks in the European markets directly via OptimXs platform. OptimX Markets is an institutional liquidity management platform.

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Securities Trading Collaboration Capital Market 59

JD Supra: Mergers

MAY 24, 2024

On the same day, a second set of proposed Treasury Regulations was issued (REG-118499-23) that includes procedural rules for reporting and paying the tax, recordkeeping, and penalties (together, By: Mintz - Securities & Capital Markets

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Stock M&A Capital Market Corporation 165

The TRADE

JUNE 5, 2024

BlackRock and Citadel Securities have moved to support a new Texas-based contender exchange headquartered in Dallas. The new exchange is now setting out plans to file for registration with the US Securities and Exchanges Commission (SEC). Citadel Securities had not responded to a request for comment at the time of publishing.

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Securities Investors Capital Raising Financial Institution 111

The TRADE

APRIL 29, 2024

He originally joined Liberum eight months ago from Numis Securities – now Deutsche Numis, following its acquisition by the bank last year. Joe Wald, BMO Capital Markets’ managing director and co-head of electronic trading left the bank, departing after four years in his most recent role, according to an update on his social media.

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The TRADE

JUNE 25, 2024

Smart Markets was developed to meet demand from institutions – including banks, central banks and buy-side trading firms – seeking sophisticated data-driven insights. “By The post Mosaic Smart Data and Euroclear launch data intelligence offering for capital markets appeared first on The TRADE.

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The TRADE

JUNE 24, 2024

Mizuho Securities has taken steps to establish a securities company in China, having officially filed an application to the China Securities Regulatory Commission (CSRC). The post Mizuho unveils plans to establish securities business in China appeared first on The TRADE.

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Securities Business Capital Market Capital 69

The TRADE

JUNE 17, 2024

The expanded partnership will also include an extension of Nasdaq’s market surveillance partnership with IDX, alongside an agreement to enhance IDX’s index business to help foster a global capital markets ecosystem. The post Indonesia Stock Exchange taps Nasdaq to build out market infrastructure appeared first on The TRADE.

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Stock Capital Market Architecture Trading 116

The TRADE

MARCH 4, 2024

The European Securities and Markets Authority (ESMA) published a consultation paper in December 2023 on the CSDR penalty regime seeking input on amendments which may include cash penalties that increase with the length of the settlement fail. On the latter, some associations felt the proposal would make Europe a less attractive market.

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Securities Trading Capital Market Capital 96

Accenture Capital Markets

OCTOBER 11, 2023

In my previous blog in this short series on generative AI in capital markets, I gave my perspective on why gen AI is so game-changing for our industry. Here are just a few of the many applications of gen AI that could offer a potential for efficiency gains in capital markets in the operations space.

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Capital Market Capital Engineering IT 140

How2Exit

MAY 23, 2023

He then worked for what are called bulge bracket investment banks, mostly in the capital market space. Castle Placement specializes in raising private equity and debt capital for clients. Concept 2: Data and Technology Drives Success Richard’s business, Castle Placement, utilizes data and technology to raise capital.

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The TRADE

DECEMBER 14, 2023

NAPFM, MFA, and AIMA have filed a lawsuit to the US Court of Appeals following the US Securities and Exchange Commission’s (SEC) adoption of two rules related to the requirements for reporting and public disclosure of securities loans and short selling activity.

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Securities Trading Investors Sale 115

The TRADE

FEBRUARY 27, 2024

“This repo transaction marks a significant milestone in building liquidity for digital bonds, while reinforcing our bank’s support for the development of Hong Kong dollar capital markets.” The collaboration leverages ADX’s investment product knowledge and HSBC’s investment banking, capital markets and blockchain capabilities.

Trading 111

Trading Banking Bank Capital Market 111

Global Banking & Finance

NOVEMBER 3, 2023

Successfully Navigating Credit Market Requires Relationships, Credibility and Experience By Jeff Glasse, Managing Director, Debt Capital Markets, Oberon Securities Even solid companies with long-established lender relationships are now occasionally facing uncertainty regarding their future financing and finding themselves in need of outside support. (..)

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Debt Capital Markets Capital Market Debt Finance 98

The TRADE

FEBRUARY 2, 2024

Mark Burgess has joined commodities specialist Marex as equities trader following a 14-year stint at Winterflood Securities. Burgess joined market maker Winterflood back in 2009 and has served as European equities trader, head of European market making, and most recently UK equities trader.

Equities 59

Equities Securities Capital Market Trading 59

The TRADE

FEBRUARY 27, 2024

The deal will further bolster FIS’ capital markets technology offering, having acquired SunGard in a major deal back in 2015. Fintech giant FIS has acquired SaaS post-trade platform Torstone Technology, according to multiple sources close to the matter.

Trading 111

Trading Capital Market Asset Management Capital 111

The TRADE

JANUARY 3, 2024

They will need to take the Capital Markets Union more seriously and remove the frictional cost of trading between countries. In light of geopolitical realities, sluggish economic growth, and constraint public finances, it will be particularly critical for the EU to ensure a new vision in regard to the Capital Markets Union.

Trading 111

Trading Capital Market Capital Economics 111

The TRADE

MARCH 12, 2024

Digital Asset’s blockchain network Canton has completed a pilot involving a large group of major investment banks and asset managers demonstrating interoperability of independent distributed ledger applications (dApps) in the capital markets domain.

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Asset Management Investment Banking Management Bank 119

The TRADE

OCTOBER 12, 2023

UK-based Marex has joined the Australian Securities Exchange (ASX) as futures clearing and trading participant with the move slated to increase competition within the currently heavily concentrated market. The post Australian Securities Exchange welcomes Marex as futures clearing participant appeared first on The TRADE.

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Securities Capital Market Trading Risk Management 52

OfficeHours

AUGUST 10, 2023

We are excited to invite you to our upcoming webinar, a unique opportunity to gain insights from an industry professional who transitioned successfully from being an M&A Investment Banking Analyst at RBC Capital Markets into a Senior Strategy Analyst at The Walt Disney Company.

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Corporation Recruitment Investment Banking Analyst M&A 130

Global Newswire by Notified: M&A

MAY 1, 2025

New York, NY, May 01, 2025 (GLOBE NEWSWIRE) -- South Street Securities LLC (South Street Securities) is pleased to announce the completion of its merger with GX2 Spread Markets LLC (GX2 Spread Markets), having received regulatory approval from the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA).

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Broker Securities Capital Market Mergers 40

The TRADE

APRIL 3, 2024

The Bank of England (BoE) and the UK Financial Conduct Authority (FCA) are working together to operate a new Digital Securities Sandbox (DSS) – a regime that will allow firms to use developing technology in the issuance, trading and settlement of securities. The DSS is expected to open applications in the summer of 2024.

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Securities Banking Bank Financial Market 69

The TRADE

JULY 18, 2024

The Green Impact Exchange (GIX) is on track to becoming the first sustainability-focused securities exchange in the US to file with the US Securities and Exchange Commission (SEC), and if approved, could begin operations in early 2025. GIX will provide that.”

Trading 64

Trading Securities Accountant Capital Market 64

The TRADE

DECEMBER 15, 2023

In a letter to ESMA, the Association for Financial Markets in Europe (AFME) was against the immediate shift to T+0, stating: “We emphasise that we do not consider a default T+0 settlement cycle for securities transactions to be a realistic or desirable near-term policy objective.”

Trading 119

Trading Capital Market Capital Hospitality 119

Global Banking & Finance

NOVEMBER 21, 2024

In the financial services industry, secure and efficient management of digital single authoritative copies (SAC) is essential. Vervent’s eVault solution provides a powerful, secure digital storage and management platform tailored to the needs of originators, warehouse lenders, custodians, securitizations, investors, and servicers.

Management 40

Management Securities Financial Services Capital Market 40

OfficeHours

JUNE 6, 2023

Leveraged buyouts involve acquiring a controlling interest in a mature company, typically through a combination of equity and debt financing, using the acquired company’s assets as collateral to secure debt financing. Venture capital focuses on early-stage companies with high growth potential.

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Private Equity Equities Debt Investment 147

The TRADE

APRIL 29, 2025

The move is also expected to improve the exchanges strength and security during client interactions and provide faster and more accurate risk analysis to LSEGs risk intelligence division by incorporating generative AI platform, Amazon Bedrock. The move allowed Murexs MX.3

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Collaboration Capital Market Financial Market Trading 52

The TRADE

NOVEMBER 10, 2023

Abu Dhabi Securities Exchange (ADX) has selected the Intercontinental Exchange’s (ICE) Global Network to offer direct market access to global institutional investors. ICE Global Network will be leveraged by ADX to expand its global investor base by facilitating real-time access to market data and order entry.

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Collaboration Securities Financial Institution Investors 64

The TRADE

FEBRUARY 29, 2024

The London Stock Exchange (LSEG) saw overall growth across its key businesses in 2023, with considerable improvement across data and analytics, capital markets, and in particular, post-trade. year-on-year increase, while capital markets saw a 6.1% In capital markets, the 6.1%

Trading 113

Trading Acquisitions Capital Market Book-building 113

The TRADE

FEBRUARY 13, 2024

Nasdaq has secured its first anchor client in Thailand as it looks to expand its Nasdaq Risk Platform into Asia. Nasdaq’s platform provides a live view of risk across proprietary and client trading portfolios – new functionality added at the start of Q2 last year to help traders manage extreme market conditions.

Securities 52

Securities Broker Trading Capital Market 52

The TRADE

APRIL 29, 2025

million US instruments across municipal, corporate and government debt, and structured finance, and will reduce reliance on inconsistent and error-prone sources to price securities, manage risk, and comply with regulations. The provider has said that the offering will give clients access to data for 3.6

Asset Management 52

Asset Management Capital Market Debt Management 52

The TRADE

MARCH 28, 2024

This is a major project that will keep the UK at the forefront of technology in capital markets. This will provide the UK with the flexibility to adapt to global developments and secure a smooth transition before the end of 2027.” The report recommends a coordinated approach across the UK, EU and other European jurisdictions.

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Capital Market Collaboration Trading Capital 115

The TRADE

JUNE 17, 2024

Over the past year, FINBOURNE has secured new clients across global investment management, banking and capital markets which it serves including Northern Trust, Omba Advisory and the Pension Insurance Corporation (PIC). The post FINBOURNE Technology raises £55 million in Series B funding round appeared first on The TRADE.

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Funds Investment Manager Capital Market Investment 69