Institutional & Investment Banking

FIA SmartBrief

Global coverage of futures and options news

FIA SmartBrief

Published in partnership with: Futures Industry Association

U.S. custody bank to close derivatives-clearing unit in Europe

9/30/2014

  • FOW magazine online (subscription required)

BNY Mellon noted frustration with Europe's postponed swap-clearing mandate as contributing to the U.S. custody bank's decision to close its derivatives-clearing unit in the region. Read More

GFMA SmartBrief

Securities, global capital markets and financial services news

GFMA SmartBrief

Published in partnership with: Securities Industry and Financial Markets Association

ICAP revenue better than expected, analysts say

10/1/2014

  • Reuters
  • Financial Times (tiered subscription model)

ICAP says revenue likely declined 15% in the first half of its fiscal year, which ended Tuesday, or 10% after adjustment for currency changes. The result is better than expected as banks drop risky tr… Read More

ISDA dailyLead

News and information about derivatives markets

ISDA dailyLead

Published in partnership with: International Swaps and Derivatives Association

Investors review best-execution policies

9/30/2014

  • Risk.net (subscription required)

The introduction of rules for over-the-counter derivatives trading has prompted some buy-side firms to reconsider their best-execution policies. Read More

NYSSA SmartBrief

Wall Street and economic news

NYSSA SmartBrief

Published in partnership with: New York Society of Security Analysts

Manhattan condo, co-op prices ease slightly

9/30/2014

  • Wall Street Journal (tiered subscription model), The

The prices paid for condos and co-ops in Manhattan have cooled a bit but they remain close to multi-year highs. In the third quarter, the median price for an apartment in Manhattan was $898,000, down … Read More

SIFMA SmartBrief

News on capital markets, wealth management and the financial services industry

SIFMA SmartBrief

Published in partnership with: Securities Industry and Financial Markets Association

FINRA: Insurance not required for arbitration awards

9/30/2014

  • Reuters

The Financial Industry Regulatory Authority says it cannot require firms to insure award payments by arbitration panels or courts to customers who have lost money, which in extreme cases could lead to… Read More

SIFMA SmartBrief: Operations and Technology Edition

Operations and technology news specific to securities firms, banks and asset managers

SIFMA SmartBrief: Operations and Technology Edition

Published in partnership with: SIFMA

SEF execs concerned about competition, volumes, costs

9/24/2014

  • Risk.net (subscription required)

Swap-execution facilities are facing challenges including low volumes, fierce competition and market fragmentation. "I spend most of my day worrying about costs, writing checks for costs and wondering… Read More

CFA Institute Financial NewsBrief

Global financial markets and investment news

CFA Institute Financial NewsBrief

Published in partnership with: CFA Institute

Asian-Pacific markets mixed amid inconclusive Chinese data

10/1/2014

  • CNBC
  • Economic Times (India), The

Asian-Pacific markets were mixed Wednesday as industrial data from China failed to give a clear picture of where the nation's economy is headed. Japan's Nikkei 225 fell 0.6%. Australia's S&P/ASX 200 g… Read More

CFA Institute Financial NewsBrief: Asia Pacific Edition

The latest Asia Pacific investment news and trends

CFA Institute Financial NewsBrief: Asia Pacific Edition

Published in partnership with: CFA Institute

South Korea sets out bond-issue plans for Oct.

9/30/2014

  • Yonhap News Agency (South Korea) (subscription required)

After selling 7.86 trillion won worth of bonds in September, the South Korean government plans to issue state bonds worth about 6.6 trillion won this month. The issue will include 1.7 trillion won eac… Read More

IACPM Weekly SmartBrief

Credit market news

IACPM Weekly SmartBrief

Published in partnership with: International Association of Credit Portfolio Managers

SEC works on a regulatory approach to synthetic securitization

9/29/2014

  • Financial Times (tiered subscription model)

The Financial Times reviews the Securities and Exchange Commission's efforts to establish a regulatory framework for banks' synthetic securitization, as well as related data and letters provided to th… Read More

Toigo SmartBrief

News stories on diversity leadership and talent and development issues affecting the financial services community

Toigo SmartBrief

Published in partnership with: Robert Toigo Foundation

Survey: Few directors cite racial, gender diversity as crucial

9/14/2014

  • Bloomberg Businessweek

A PricewaterhouseCoopers survey found that racial diversity was described as "very important" by only 24% of male directors, while 32% said the same about gender diversity. Female directors had higher… Read More

IIA SmartBrief

Internal audit news

IIA SmartBrief

Published in partnership with: The Institute of Internal Auditors

SEC to pay biggest whistleblower award

9/23/2014

  • ThinkAdvisor
  • Hill, The
  • Reuters
  • Wall Street Journal (tiered subscription model), The

The Securities and Exchange Commission intends to pay a record-high award of more than $30 million to a person who provided information that was essential to an enforcement action. "This whistleblower… Read More

Poliwogg SmartBrief

Follow the trends in Investment Management

Poliwogg SmartBrief

Published in partnership with: Poliwogg

High Water Women Investing for Impact Symposium -- Oct. 21 in New York City

9/23/2014

This symposium will focus on how different investors are approaching the impact space and discussing challenges for growth. High Water Women is an organization that focuses on providing educational op… Read More

SmartBrief on Risk and Compliance

News about finance and corporate risk management

SmartBrief on Risk and Compliance

Webinar: Tech can help solve trade-reconstruction challenge

9/29/2014

  • SmartBrief/SmartBlog on Finance

A new rule allows the Commodity Futures Trading Commission to require that a swap dealer provide a full reconstruction of a trade within three days. This requirement brings many challenges, and firms … Read More