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FINRA fines UBS 利卯郭肱 $12m

26 October 2011 Washington
Reporter: Anna Reitman

The Financial Industry Regulatory Authority (FINRA) has announced that it has fined UBS 利卯郭肱 $12 million for violating RegSHO and failing to properly supervise short sales of securities...

IROs negative on short selling - BNY Mellon survey

25 October 2011 New York
Reporter: Anna Reitman

Some 64 per cent of investor relations offices (IROs) within companies globally think short selling has a negative impact on the trading environment, according to a BNY Mellon survey...

Merlin 利卯郭肱 appoints new market strategy chief

25 October 2011 New York
Reporter: Anna Reitman

Merlin 利卯郭肱 has announced the appointment of Rick Bensignor as chief market strategist to address the prime brokerage services firms' increasingly sophisticated client base...

Primebroker begins ANZ lawsuit

24 October 2011 Sydney
Reporter: Anna Reitman

Primebroker has begun its lawsuit against ANZ, accusing the bank of misleading and deceptive conduct...

Hong Kong set to centralise short selling - BW

24 October 2011 Hong Kong
Reporter: Anna Reitman

Hong Kong's stock exchange is considering a centralised securities borrowing and lending facility...

ATB Financial select Adaptiv to manage counterparty credit exposure

20 October 2011 Edmonton
Reporter: Justin Lawson

ATB Financial (ATB) has selected SunGard��s Adaptiv Riskbox and Collateral solutions to help manage counterparty credit exposure and respond to.....

Short covering not driving share price - Data Explorers

20 October 2011 London
Reporter: Anna Reitman

Though short sellers have been covering positions in the recent market upturn, it has not necessarily driven share prices higher, says Data Explorers...

BlackRock sees securities lending lift revenue

19 October 2011 New York
Reporter: Anna Reitman

In its annual earnings statement, BlackRock credits securities lending revenue and advisory and administration fees for an increase in Q3 revenue...

HazelTree adds Wilson Pringle

19 October 2011 New York
Reporter: Justin Lawson

Wilson Pringle joins HazelTree's team in New York as the company expands to meet growing customer demand for Treasury Suite with Form PF...

Naked short sale ban "diluted" - European parliament

19 October 2011 Strasbourg
Reporter: Anna Reitman

A short selling regulation deal has been reached by the European parliament in a bid to beef up standards and requirements...

Shortsellers in Asia bet on slowdown - Data Explorers

18 October 2011 London
Reporter: Anna Reitman

Short sellers in Asia have increased their exposure to the sectors expected to get hit by a global slowdown, says Data Explorers...

Lightspeed to provide prime brokerage

17 October 2011 New York
Reporter: Anna Reitman

Lightspeed Financial has announced its expansion into prime brokerage with the launch of Lightspeed Institutional, which will offer a specialised prime brokerage platform for professional investors...

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