The TRADE

NOVEMBER 25, 2024

Cboe Clear Europe has received regulatory approval to clear European Securities Financing Transactions (SFTs), granted by De Nederlandsche Bank (DNB) and the Autoriteit Financiële Markten (AFM). The post Cboe Clear Europe gets regulatory green light to launch securities financing transactions clearing appeared first on The TRADE.

Finance 69

Finance Finance Securities Trading 69

JD Supra: Mergers

MARCH 28, 2024

On March 11, 2024, the Ontario Capital Markets Tribunal (Tribunal) released its reasons for dismissing Mithaq Capital Inc.'s s (Mithaq) application on December 14, 2023, to cease trade a private placement that Aimia Inc. Aimia) completed in October 2023. By: Bennett Jones LLP

Capital Market 165

Capital Market Capital Trading Securities 165

PE Hub

FEBRUARY 7, 2024

Based in Toronto, Security Compass is a provider of enterprise DevSecOps software solutions to ensure secure application development and risk management. The post FTV Capital-backed Security Compass buys Kontra from ThriveDX appeared first on PE Hub.

Securities 92

Securities Capital Risk Management Management 92

Accenture Capital Markets

NOVEMBER 16, 2023

At Accenture’s capital markets team, we’ve completed a research project into the future of capital raising. More so, I suspect people most interested may be small-cap issuers, many of whom currently seem to struggle to raise the capital in the way that best suits their needs and at times when they need it the most.

Capital Raising 138

Capital Raising Capital Capital Market Funds 138

PE Hub

NOVEMBER 6, 2023

The post Parkview Dental Partners secures investment from Cathay Capital appeared first on PE Hub. Currently, Parkview manages 22 dental practices that provide both general dentistry and specialty dental services.

Capital 85

Capital Securities Investment Management 85

The TRADE

FEBRUARY 10, 2025

Rokos Capital Management has appointed Sabina Awan as trading solutions consultant, based in London. The post Rokos Capital Management appoints former Fidelity International exec as trading consultant appeared first on The TRADE. Awan previously spent 17 years at Fidelity International, serving in a range of senior positions.

Consulting 64

Consulting Management Trading Capital 64

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.

Securities 109

Securities Capital Market Collaboration Investment Banking 109

The TRADE

JANUARY 9, 2025

Winterflood Securities has become the latest liquidity provider to join OptimX Markets growing sell-side network. Winterflood is delighted to be working with OptimX, Scott Lesser, head of trading solutions, Winterflood Securities, told The TRADE. OptimX Markets is an institutional liquidity management platform.

Securities 59

Securities Trading Collaboration Capital Market 59

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.

Securities 111

Securities Capital Raising Investors Financial Institution 111

The TRADE

NOVEMBER 12, 2024

oneZero Financial Systems has received investment of an undisclosed sum from Golden Gate Capital as it seeks to expand its role across the global OTC asset trading market. The post oneZero receives capital boost from new investor as it seeks to expand its role within the global OTC asset trading market appeared first on The TRADE.

Capital 59

Capital IT Trading Investors 59

PE Hub

JANUARY 10, 2024

The post Ice cream products maker Mini Melts secures investment from Altamont Capital appeared first on PE Hub. Mini Melts founder and CEO Dan Kilcoyne will remain CEO of the business and a major investor alongside Altamont and existing shareholders.

Capital 77

Capital Securities Investment Investors 77

JD Supra: Mergers

MARCH 7, 2025

On March 3, 2025, the Securities and Exchange Commission (SEC) staff issued guidance that expands the existing accommodations available to companies to submit draft registration statements to the SEC for confidential, nonpublic review. The new SEC guidance has the following effect: By: Cozen O'Connor

Capital 171

Capital Securities 171

How2Exit

APRIL 22, 2024

b' E205: Raising Capital for Acquisitions: Funding Sources to Finance Your Dream Deal w/ Parnell Speed - Watch Here rn rn About the Guest(s): rn Parnell Speed is a seasoned professional with a background in engineering and experience in the real estate sector.

Finance 130

Finance Finance Capital Funds 130

The New York Times: Mergers, Acquisitions and Dive

MARCH 25, 2024

MNC Capital has raised its takeover offer for Vista Outdoor, the owner of Remington ammunition — and amplified worries about a non-American rival bidder.

Securities 114

Securities Capital IT Mergers and Acquisitions 114

Wall Street Mojo

JANUARY 17, 2024

What Are Convertible Securities? Article Link to be Hyperlinked For eg: Source: Convertible Securities (wallstreetmojo.com) The convertible securities are preferred over non convertible securities for investments, given the lesser payout involved and more fruitful returns expected.

Securities 98

Securities Investors Shares Stock 98

Growth Business

OCTOBER 30, 2023

More than £150m of funding was provided by Yorkshire, Manchester and Merseyside pension funds, while further support was secured from institutional investors including British Patient Capital (part of the British Business Bank) and Lansdowne Partners.

Securities 105

Securities Investment Funds Investors 105

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.

Capital 130

Capital Investors Business Investment 130

PE Hub

OCTOBER 16, 2023

FMI Capital Advisors and Fultz Maddox Dickens PLC provided legal advice to SHA while Latham & Watkins LLP acted as legal advisor to Godspeed Capital. The post Stengel Hill Architecture secures investment from Godspeed appeared first on PE Hub.

Architecture 85

Architecture Securities Investment Capital 85

The TRADE

JANUARY 5, 2024

Jefferies’ managing director and head of US equity distribution in Europe, Guy Trust, has left the bank after nearly a decade to join Daiwa Capital Markets Europe, The TRADE can reveal. Previously in his career, he spent two years at Praeda Capital and a year at London Capital Group, both in trading roles focused on arbitrage strategies.

Capital Market 104

Capital Market Equities Capital Portfolio Management 104

PE Hub

FEBRUARY 6, 2024

The seller was New State Capital Partners. The post American Securities scoops up cloud communications service firm NWN Carousel appeared first on PE Hub.

Securities 92

Securities Capital 92

The Deal

FEBRUARY 2, 2024

After being in business for more than a decade, security solutions provider Servexo Inc., While the company is profitable and growing and should continue on that path with or without a capital partner, company president and co-founder John Palmer said the right capital partner could help expedite its growth trajectory. “We

Capital 111

Capital Private Equity Entertainment Business 111

JD Supra: Mergers

MARCH 4, 2025

The SEC announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. By: Stinson - Corporate & Securities Law Blog

IPO 177

IPO Corporate Finance Corporation Finance 177

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.

Capital Market 165

Capital Market Mergers Capital Acquisitions 165

Global Banking & Finance

AUGUST 19, 2024

For leaders managing capital-intensive projects, the challenge of controlling fraud, error, waste, and abuse (FEWA) is ever-present. A common question which is often raised is, ‘How can we secure our investments, while navigating complex supply chains and high-risk environments?’

Capital 97

Capital Investment Management Securities 97

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.

Capital Market 171

Capital Market Investors Capital Securities 171

JD Supra: Mergers

SEPTEMBER 11, 2024

Fast-growing private companies are exciting to observe as outsiders, but on the inside the company founder has the challenge of securing enough capital to fuel the rapid growth of the business.

Business 165

Business Capital Management Securities 165

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.

Securities 115

Securities Trading Investors Sale 115

How2Exit

APRIL 10, 2023

Ron Concept 1: Raise Capital Intro Raising capital compliantly is an important part of any business transaction, whether it be real estate, business acquisition, or any other venture. This helps companies to raise capital in a compliant manner, which is essential to any business transaction.

Capital 130

Capital Investors Investment Broker 130

JD Supra: Mergers

MARCH 13, 2025

On March 3, 2025, the Securities and Exchange Commissions (SEC) Division of Corporation Finance announced significant enhancements to the accommodations available for issuers confidentially submitting draft registration statements.

Corporate Finance 171

Corporate Finance Finance Finance Corporation 171

JD Supra: Mergers

AUGUST 30, 2024

The Stock Exchange of Hong Kong Limited ("HKEx") and the Securities and Futures Commission ("SFC") have announced temporary changes to the Hong Kong Listing Rules regarding the minimum initial market capitalization of specialist technology companies and independent third-party investment requirements for de-SPAC transactions.

Capital 171

Capital Stock Investment Securities 171

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.

Portfolio 188

Portfolio M&A Capital Market Equities 188

Growth Business

SEPTEMBER 25, 2023

By Aaron Hurst on Growth Business - Your gateway to entrepreneurial success The new fund from London-based Dawn Capital — the portfolio of which currently includes PayPal subsidiary Zettle , as well as Mimecast and Quantexa — was closed at a “hard cap” earlier this year.

Funds 105

Funds Capital Investment Business 105

JD Supra: Mergers

MARCH 7, 2025

Securities and Exchange Commission (SEC) has announced significant changes to its confidential filing procedures, aiming to support capital formation and provide greater flexibility for companies planning public offerings. These enhancements, effective as of March 3, 2025, were detailed in a press release by the SEC.

Capital 171

Capital Securities IT 171

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.

Securities 69

Securities Business Capital Market Capital 69

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.

Securities 96

Securities Trading Capital Market Capital 96

JD Supra: Mergers

MARCH 4, 2025

Yesterday, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission announced a new policy permitting confidential submission of registration statements in additional circumstances in order to promote capital formation. By: Mayer Brown Free Writings + Perspectives

Corporate Finance 159

Corporate Finance Finance Finance Corporation 159

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.

Mergers 177

Mergers IPO Capital Market Valuation 177