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...The SEC, Finra and the Sifma, the industry lobby group for brokers, declined to comment....
...Japanese brokers are focusing on stocks primed to benefit if Donald Trump returns to the White House and the US-China relationship deteriorates even further, as global interest mounts in Japan’s rising equity...
...Additional reporting by Eung Sea A version of this article was first published by Nikkei Asia on March 12. ©2024 Nikkei Inc. All rights reserved....
...In August 2016, Stifel brokers’ compliance departments discovered that the products were being recommended beyond their intended holding period, the order stated....
...A version of this article was first published by Nikkei Asia on March 6. ©2024 Nikkei Inc. All rights reserved....
...A version of this article was first published by Nikkei Asia on April 2 2024. ©2024 Nikkei Inc. All rights reserved....
...Talent agency UTA has parted with veteran Hollywood power broker Michael Kassan, sparking a bitter legal battle over differing allegations about the use of a $950,000 “special expenses” fund....
...AXA Millésimes, the insurance company’s wine division, is far lower-key than Bernard Arnault’s vast LVMH empire, but has its own investment in Outpost on Howell Mountain, east of the valley....
...That should enable it to broker up to $1bn in loans to small and medium sized enterprises in the next 18 months, and the same amount annually, according to Rohit Arora, co-founder and chief executive....
...The SEC on Friday charged broker-dealers and investment advisers — including Perella Weinberg Partners and Interactive Brokers — for “widespread and longstanding failures to maintain and preserve electronic...
...A version of this article was first published by Nikkei Asia on January 26. ©2024 Nikkei Inc. All rights reserved....
...A version of this article was first published by Nikkei Asia on January 16. ©2024 Nikkei Inc. All rights reserved....
...A version of this article was first published by Nikkei Asia on February 27. ©2024 Nikkei Inc. All rights reserved....
...That, at least, was the allegation made by Northwest Biotherapeutics in a suit filed against seven broker-dealers including Virtu and Ken Griffin’s Citadel Securities in late 2022....
...A version of this article was first published by Nikkei Asia on December 12. ©2023 Nikkei Inc. All rights reserved....
...It has expanded into clearing and risk and pricing technology and bought rival broker ED&F Man Capital Markets last year....
...A version of this article was first published on November 3 by Nikkei Asia. ©2023 Nikkei Inc....
...Proponents in the UK range from brokers to grocery delivery....
...The unrest in the Middle East also depressed Turkish Airlines’ ability to fill seats in late 2023, the airline said....
...With its ownership of Shoe Palace, which has a big presence on the US west coast, and DTLR, which is established in the east, JD is hoping to fill in the gaps in the US market....
...Tesla rival Nio has secured a $2.2bn investment from Abu Dhabi-backed CYVN Holdings in a boost for the Chinese electric vehicle maker as Middle East groups and Beijing increasingly join forces in the clean...
.... ©2023 Nikkei Inc. All rights reserved....
...Klein, a longtime PIF adviser who helped broker an agreement last year between the fund and the US PGA Golf Tour, said the Saudi court orders “expose me and my employees to not just civil liability, but...
...Washington D.C., March 18, 2024 — The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false...
...A version of this article was first published by Nikkei Asia on February 12. ©2024 Nikkei Inc. All rights reserved....
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