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Ananias Blocker joins SIFMA
23 December 2013 New York
Reporter: Georgina Lavers

SIFMA has appointed Ananias Blocker as executive vice president of public policy and advocacy...

Sean Trager joins Wedbush for prime brokerage
20 December 2013 Los Angeles
Reporter: Georgina Lavers

Wedbush Securities has hired Sean Trager to spearhead the firmâ€™s prime brokerage offering...

Silvercorp fraud battle rages on
20 December 2013 British Columbia
Reporter: Georgina Lavers

Jon Richard Carnes has been accused of committing fraud by the British Columbia Securities Commission, after he denounced Silvercorp on his blog and then made $2.8 million selling it short...

Court case throws up implication for lending agents
19 December 2013 New York
Reporter: Georgina Lavers

In their analysis of the court case between AP-Fonden and BNY Mellon, law firm RPC has stated that the judgement against the bank underscores the need for securities lending agents to act fairly when communicating with their clients...

Equity hedge fund assets achieve five-year high
19 December 2013 New York
Reporter: Daniel Jackson

Institutional investment research firm eVestment found that hedge funds are on track for assets to rise $256 billion in 2013, an 80 percent increase over the rise seen in 2012...

SEC shuts down NIR Capital Management
18 December 2013 North Carolina
Reporter: Georgina Lavers

The Securities and Exchange Commission has charged the managing partners of a North Carolina-based investment advisory firm for compromising their independent judgment...

TradeStation adjusts pricing on equities
18 December 2013 Florida
Reporter: Georgina Lavers

TradeStation has implemented new "unbundled" equities commission pricing designed to benefit traders who trade very actively and seek lower trading costs...

IOSCO publishes regulatory issues report
17 December 2013 Madrid
Reporter: Daniel Jackson

IOSCO made four recommendations that seek to promote market liquidity and efficiency, price transparency, and investors' execution quality in a fragmented environment...

Hedge fund launches fall to three-year low
17 December 2013 Chicago
Reporter: Daniel Jackson

New hedge fund launches declined to the lowest level in nearly three years in Q3 2013, while the number of hedge fund liquidations rose to the highest level since Q4 2012, according to the HFR Market Microstructure Industry Report...

NSD and BNY Mellon collaborate on depository receipts
17 December 2013 London
Reporter: Daniel Jackson

Russian-based investors and brokers will be able to issue and cancel depository receipts in Russian companies thanks to an agreement between the National Settlement Depository (NSD), Russiaâ€™s central securities depository, and BNY Mellon...

SIFMA appoints Kenneth Bentsen as president and CEO
16 December 2013 Washington DC
Reporter: Daniel Jackson

The Securities Industry and Financial Markets Association (SIFMA) has confirmed the appointment of Kenneth Bentsen as president and CEO...

Agencies issue final rules implementing Volcker Rule
13 December 2013 Washington DC
Reporter: Daniel Jackson

Five federal agencies have issued final rules developed jointly to implement Section 619 of the US Dodd-Frank Act, also known as the Volcker Rule...