JD Supra: Mergers

AUGUST 22, 2024

The concept of insider trading under the federal securities laws has evolved over the years, at times in unexpected ways. Current insider trading standards have developed through case law and administrative actions applying the anti-fraud rules of the federal securities laws and have resulted in a framework that is not always clear.

Trading 167

Trading Securities 167

JD Supra: Mergers

FEBRUARY 27, 2024

In November 2023, in Issue Lines Drawn in SEC Shadow Trading Case, we revisited the case Securities and Exchange Commission v. Panuwat, the SEC’s first enforcement action brought on the theory of “shadow trading.”. By: Patterson Belknap Webb & Tyler LLP

Trading 167

Trading Securities 167

JD Supra: Mergers

SEPTEMBER 15, 2023

Two Sides of the Same Coin: Analyzing the Recent Ripple and Terraform Decisions - Key Points - - In July 2023, Judges Torres and Rakoff in the Southern District of New York issued rulings on whether digital asset sales through trading platforms constitute securities transactions subject to the federal securities laws.

Securities 172

Securities Sale Trading 172

JD Supra: Mergers

NOVEMBER 10, 2023

In February 2022, in SEC Shadow Trading Case Breaks Ground, we discussed Securities and Exchange Commission v. Panuwat, the SEC’s first enforcement action brought on the theory of “shadow trading.”. By: Patterson Belknap Webb & Tyler LLP

Trading 167

Trading Securities 167

JD Supra: Mergers

OCTOBER 2, 2024

Ninth Circuit Affirms Dismissal of Insider Trading Claims Against Satellite Operator Investors Based on Stock Sales After FCC Chairman Vote - In re Silver Lake Grp.,

Securities 187

Securities Investors Stock Trading 187

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 67

Finance Finance Securities Trading 67

The TRADE

NOVEMBER 3, 2023

Wells Fargo has appointed Jon Thorne as senior securities sales trading specialist, The TRADE can reveal. Jonathan Tse was appointed managing director, EMEA head of electronic trading quant analytics, platform and product at UBS last month, following a move over from Credit Suisse.

Sale 113

Sale Trading Securities Electronics 113

The TRADE

OCTOBER 1, 2024

The US Securities and Exchange Commission (SEC) has charged TD Securities with manipulating the US Treasury cash securities market through an illicit spoofing scheme between April 2018 and May 2019.

Securities 109

Securities Trading Broker Profitability 109

JD Supra: Mergers

JANUARY 15, 2025

Federal Trade Commission announced a record USD5.68m civil penalty to settle alleged pre-merger coordination in violation of the HSR Act. On January 7, 2025, the U.S. This settlement is the largest dollar penalty that has ever been imposed by the U.S. agencies for a gun-jumping violation. By: A&O Shearman

Securities 167

Securities Mergers Trading 167

The TRADE

NOVEMBER 26, 2024

Fixed income investment bank KNG Securities has added Mert Kisacik to its fixed income sales team, where he will hold responsibility for Turkish and Israeli markets. The post KNG Securities taps Morgan Stanley for new fixed income sales addition appeared first on The TRADE.

Sale 67

Sale Securities Investment Banking Bank 67

The TRADE

DECEMBER 14, 2023

RULEMATCH, a new crypto trading venue, serves banks and securities firms which are already active in the crypto market has launched, offering a combination of integrated, post-trade settlement and ultra-low latency for participants including hedge funds and high frequency traders.

Trading 120

Trading Bank Banking Securities 120

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.

Securities 57

Securities Trading Collaboration Capital Market 57

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 113

Securities Trading Investors Sale 113

The TRADE

NOVEMBER 27, 2024

” Read more: JonesTrading deploys FlexTrade Systems’ FlexOMS to power its sell-side trading desks Following the implementation of FlexTRADER EMS, Alecta’s trading team will have access to an equities and derivatives trading platform that will handle the execution of both asset classes from a single order blotter.

Trading 62

Trading Collaboration Equities Management 62

The TRADE

FEBRUARY 10, 2025

Rokos Capital Management has appointed Sabina Awan as trading solutions consultant, based in London. Most recently, she served as head of strategic initiatives for global trading. Prior to that, she worked as global trading business manager. Awan announced her appointment in a social media post.

Consulting 62

Consulting Management Trading Capital 62

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 107

Securities Capital Market Collaboration Investment Banking 107

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). The TRADE understands that BlackRock has taken a minority investment.

Securities 109

Securities Capital Raising Investors Financial Institution 109

JD Supra: Mergers

JANUARY 7, 2025

Facilitating Security Clearances," host Molly O'Casey discusses the intersection of the Committee on Foreign Investment in the United States (CFIUS) and Foreign Ownership, Control, and Influence (FOCI) mitigation with Libby Bloxom, a fellow member of Holland & Knight's International Trade Group.

Trading 167

Trading Investment Securities 167

The TRADE

APRIL 4, 2024

Euronext’s dealer to client trading platform MTS BondVision has secured the contract to supply the European Central Bank (ECB) with electronic trading platforms for euro-denominated bonds. MTS BondVision covers rates, credit and repo.

Electronics 109

Electronics Trading Government Bank 109

The TRADE

NOVEMBER 3, 2023

Almost two thirds (63%) of buy-side equity market participants believe outsourced desks would result in improved execution quality and trade performance when trading across regions, according to new research from Coalition Greenwich. This figure was up markedly from similar research in 2020, which had the result at 5%.

Trading 113

Trading Portfolio Management Asset Management Financial Services 113

Razorpay

DECEMBER 2, 2024

Payment Delays and Transaction Hiccups For a company like Alice Blue Financial Services, where real-time trading and swift transaction processing are critical, delays in payment processing and refunds were becoming a recurring issue. As trading volumes increased, the need for a more robust, seamless payment solution became urgent.

Financial Services 52

Financial Services Investors Securities Trading 52

The TRADE

SEPTEMBER 24, 2024

The required skillsets on a buy-side FX trading desk are undergoing significant transformation due to technological advancements. Traditional skills, while still essential, are increasingly supplemented by a robust understanding of data analytics, algorithmic trading and technological tools.

Trading 113

Trading Financial Market Collaboration IT 113

The TRADE

FEBRUARY 27, 2024

Fintech giant FIS has acquired SaaS post-trade platform Torstone Technology, according to multiple sources close to the matter. Some of its major recent mandates include a 10-year agreement to provide post-trade technology to BNP Paribas and $1.5

Trading 109

Trading Capital Market Asset Management Capital 109

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 57

Capital Trading IT Investors 57

The TRADE

MAY 21, 2024

CME Group has launched repo on corporate bonds and mortgage-backed securities (MBS) on its dealer-to-client (D2C) request-for-quote (RFQ) trading platform, BrokerTec Quote. US corporate bonds began trading yesterday, 20 May, with the remaining products expected to be live by the end of next month.

Corporation 70

Corporation Trading Securities Risk Management 70

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. read more.

Securities 98

Securities Investors Shares Financial Modeling 98

JD Supra: Mergers

MAY 28, 2024

Beginning May 28, 2024, the new T+1 settlement cycle will apply to most routine securities transactions, which means that the settlement period for most securities issuances and trades will shorten from two business days after the trade date to one business day after the trade date.1

Trading 161

Trading Business Securities 161

JD Supra: Mergers

MARCH 3, 2025

This edition of the Conyers SGX & Catalist Public Companies Report summarises selected key transactions involving companies listed on the Main Board and Catalist Board of the Singapore Exchange Securities Trading Limited (SGX-ST) in the second half of 2024. By: Conyers

Trading 172

Trading Securities 172

CNBC: Investing

JANUARY 10, 2025

The firm's 12-month price target on the Nasdaq-traded shares of the German company is $172.

Securities 113

Securities Stock Trading Shares 113

The TRADE

DECEMBER 4, 2023

Trading Technologies (TT) has made three new appointments to its senior leadership team, including chief operating officer; executive vice president of fixed income; and executive vice president of futures and options – all of which will join the firm on 1 January 2024.

Trading 113

Trading Utilities Sale Business 113

The TRADE

AUGUST 24, 2023

The Securities and Exchange Commission (SEC) has moved to expand the remit of national securities associations such as the Financial Industry Regulatory Authority (FINRA). to cover previously exempt proprietary trading firms.

Trading 98

Trading Proprietary Trading Broker Securities 98

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. It means your company is sincere in its motivation to follow through on those promises.

Trading 62

Trading Securities Accountant Capital Market 62

The TRADE

JUNE 8, 2023

Delikaris rejoins the firm from Coinbase, where he most recently served as head of digital finance trading. Previously, he served as State Street’s global head of algorithmic trading, securities finance. Welcome back to State Street, Nick!”

Finance 104

Finance Finance Trading Risk Management 104

The TRADE

FEBRUARY 27, 2024

Investing in Hong Kong’s first-ever digitally native bonds and transacting repo trades with the bonds as collateral has been a smooth process,” said Bryan Wong, general manager and head of treasury markets division of BEA. The move represents the first repo in Hong Kong involving digital bonds.

Trading 109

Trading Banking Bank Capital Market 109

The TRADE

AUGUST 30, 2023

Union Investment’s Christoph Hock is set to step away from his role as head of multi-asset trading later this year to pursue an opportunity in digital assets and tokenisation within the asset management firm, The TRADE can reveal. Union is bolstering its digital assets division, The TRADE understands.

Trading 104

Trading Asset Management Management Portfolio Management 104

CNBC: Investing

OCTOBER 10, 2024

Hedge funds posted the largest single-day net selling of Chinese securities on Tuesday, according to Goldman Sachs' prime brokerage data.

Funds 135

Funds Trading Stock Securities 135

JD Supra: Mergers

JANUARY 30, 2025

In line with international and European developments, Ireland has introduced a new regime to provide for a process to allow for certain transactions that may present risks to the security or public order of the State to be reviewed by the Minister for Enterprise, Trade and Employment. By: Hogan Lovells

Investment 177

Investment Trading Securities 177