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Current RefinementsContent TypeNewsDate2012SectorIntermediariesPrime BrokeragesRemove all refinements DateJanuary (2)February (2)March (2)April (2)August (3)September (1)October (3)November (1)December (2)AuthorBBR Staff Writer (17)IBR Staff Writer (1)LocationAsia-Pacific (2)Europe (2)Middle East and Africa (1)North America (13)
Search Results: News > 2012 > Prime Brokerages
1-15 of 18 results
SEC penalizes hedge fund manager for insider trading in Chinese bank stocks
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has sued Sung Kook ‘Bill’ Hwang, the founder and portfolio manager of Tiger Asia Management and Tiger Asia Partners, over insider trading by short selling three Chinese bank stocks.
Intermediaries > ECN & Exchanges > News
BNP Paribas offers post -trade service for LSE-SGX cross-trade project
By BBR Staff Writer
BNP Paribas Securities Services (BNP Paribas) has unveiled its plan to offer an integrated post-trade service to banks, brokers and other financial intermediaries.
Intermediaries > ECN & Exchanges > News
SEC sues four Indian brokerage firms for breaching federal securities laws
By BBR Staff Writer
US Securities and Exchange Commission (SEC) has charged four financial services firms based in India for offering brokerage services to institutional investors in the country without registering with the SEC, as per the federal securities laws.
Intermediaries > Prime Brokerages > News
Saxo Bank buys NVN Securities to boost presence in Latin America
By BBR Staff Writer
Online Danish investment bank Saxo Bank has acquired NVN Securities, Agente de Valores, a broker fully licensed by the Uruguayan Central Bank, in an undisclosed deal.
Intermediaries > Prime Brokerages > News
SEC sues four brokers over deceiving customers for $18.7m
By BBR Staff Writer
US Securities and Exchange Commission (SEC) has filed a case in federal court in Manhattan against four brokers for overcharging customers $18.7m through hidden markups and markdowns and secretly keeping portions of profitable customer trades.
Intermediaries > Prime Brokerages > News
Wells Fargo appoints new head of wealth brokerage services’ division
By BBR Staff Writer
Wells Fargo has appointed Jim Hays as the new executive vice president and head of its wealth brokerage services' unit.
Intermediaries > Prime Brokerages > News
BNCCORP, insurers reach settlement agreement
By IBR Staff Writer
North Dakota-based BNCCORP and its insurers have entered into a settlement agreement on fraud related claim, pursuant to which BNC has agreed to settle its claim for $7.5m.
Intermediaries > Prime Brokerages > News
Gleacher & Company names new investment banking, capital markets head
By BBR Staff Writer
Gleacher & Company Securities, a broker-dealer subsidiary of Gleacher & Company, has selected Randolph Barker as the new executive managing director and head of investment banking and capital markets.
Intermediaries > Prime Brokerages > News
CIMB may kick off broking operations in India, South Korea
By BBR Staff Writer
CIMB Group Holdings is seriously contemplating to roll out its broking operations in India and South Korea after acquiring most of Royal Bank of Scotland Group’s Asian investment banking assets.
Intermediaries > Prime Brokerages > News
Knight Capital to get a $400m capital infusion
By BBR Staff Writer
Knight Capital Group has inked a $400m capital financing agreement with a consortium of firms including Blackstone Private Equity, Getco, Ameritrade and Stifel Nicolaus.
Intermediaries > Prime Brokerages > News
Northill Capital to acquire majority interest in Securis Investment Partners
By BBR Staff Writer
Northill Capital has agreed to purchase a majority interest in Securis Investment Partners for an undisclosed sum from Securis’ external partners, including Swiss Re and Stone Point Capital.
Intermediaries > Prime Brokerages > News
SEC charges optionsXpress, Five Individuals for short selling fraud
By BBR Staff Writer
US Securities and Exchange Commission has sued optionsXpress, an online brokerage and clearing agency as well as four officials at the firm and a customer for their involvement in an offensive naked short selling scheme.
Intermediaries > Prime Brokerages > News
Saxo Capital unveils South African operations
By BBR Staff Writer
Saxo Capital Markets, a subsidiary of Saxo Bank Group in Denmark has unveiled its South African operations, where the firm will provide online trading and investment in FX, CFDs, ETFs, Stocks, Futures, Options and other derivatives.
Intermediaries > Prime Brokerages > News
Rodman & Renshaw to debut automated electronic transaction platform
By BBR Staff Writer
Rodman & Renshaw Capital will introduce an automated electronic transaction platform DirectMarkets, which will provide direct access to existing public companies and investors seeking to transact primary offerings of securities.
Intermediaries > Prime Brokerages > News
RBI may approve Enam-Axis deal by next month
By BBR Staff Writer
The sale of Indian brokerage firm Enam Securities to Axis Bank is likely to materialise next month, which is pending for the last 16 months.
Intermediaries > Prime Brokerages > News

BBR White Paper Recommendations

Revenue Leakage – Opportunity Calling! By Suntec
Revenue Leakage has been a universal phenomenon, gnawing up the profit margins of transaction-based industries, especially across their business support systems. Though the Banking industry people are particularly quick in acknowledging the glaring prevalence of revenue leakage, they are not able to pinpoint its source or quantity, or chart methodologies to ensure Revenue Assurance.... Banking Services > Commercial Banking > White Papers Customer Profitability Vs. Customer Satisfaction: Keep Guessing or Model your Pricing Strategies By Suntec
Most financial institutions do not have a clear understanding of what or who drives their profitability. They make assumptions or guesswork, and most of the time, try and fix their profitability metrics into the 80/20 rule or something similar — the majority of profits (80%) come from a minority (20%) of customers, products or business segments. Is profitability as simple as this? While there is no denying the 80/20 rule, how does an organization find this 20%? ... Banking Services > Commercial Banking > White Papers Banks - Reward Your Customers Incrementally, Based on Their Profitability By Suntec
Financial Institutions (FI) are on the verge of a strategic make-over. The market conditions imply an increased need to generate revenues and customer profitability, to ensure sustainability and future business success. In order to achieve these objectives, the FIs need to devise strategies that leverage customer relationships in a way that has never been done before. ... Banking Services > Commercial Banking > White Papers Achieving Measurable Gains by Automating Claims Processing By Kofax
Moving to a fully automated process is a goal for claims processing of nearly all insurance executives. Companies are at various levels of automation and often do not have an appropriate strategy to achieve higher levels of automation. This white paper identifies seven levels of claims automation and provides a roadmap that can be followed to enhance claims processing. This straightforward approach can be used to increase the likelihood of successful automation. Download this free white paper from Kofax to find out more.... White Papers Customer Centricity: The Key to Success in Retail Banking By Kofax
The economic slowdown has forced many banks to redirect their focus to retail banking and reinvent themselves as customer-centric organizations. But many institutions still use legacy infrastructures and processes that hinder necessary readjustments, in particular with regard to information exchange and customer communication. This white paper explains how these difficulties can be overcome, and how banks and financial institutions can reengineer core IT and business processes to support their business objectives. Download this free white paper from Kofax to find out more.... White Papers See more
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