Institutional & Investment Banking

FIA SmartBrief

Global coverage of futures and options news

FIA SmartBrief

Published in partnership with: Futures Industry Association

Efforts to change Korea's clearing structure face obstacles

4/20/2015

  • Risk.net (subscription required)

Korea is working to align its clearing structure with EU standards, which could prompt the EU to grant equivalence status to the Asian nation's third-party central counterparties. However, concerns ar… Read More

GFMA SmartBrief

Securities, global capital markets and financial services news

GFMA SmartBrief

Published in partnership with: Securities Industry and Financial Markets Association

China tweaks short-selling rules to raise securities supply

4/20/2015

  • Reuters

China is increasing stocks available for short selling and is allowing fund managers to lend shares, after investors have faced difficulty borrowing stocks. The changes are intended to bolster market … Read More

ISDA dailyLead

News and information about derivatives markets

ISDA dailyLead

Published in partnership with: International Swaps and Derivatives Association

At 150, Cargill intends to remain privately held

4/20/2015

  • Financial Times (tiered subscription model)

Cargill is approaching its 150th anniversary, and executives say the Minnesota-based group plans to remain private. Founder William Wallace Cargill's descendants hold 90% of the firm's shares. Read More

NYSSA SmartBrief

Wall Street and economic news

NYSSA SmartBrief

Published in partnership with: New York Society of Security Analysts

FHFA adjusts Fannie, Freddie fees for backing loans

4/20/2015

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

Watt

The U.S. Federal Housing Finance Agency has announced minor changes to fees charged by Fannie Mae and Freddie Mac to back mortgages, but few borrowers are expected to notice. "Our goal is to assure ta… 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

Some financial advisors embrace automated rivals

4/20/2015

  • Barron's (subscription required)

Over the past several years, a variety of online, automated financial advisors have cropped up to offer investors low prices on customized portfolios. Human advisors don't seem to be too concerned abo… 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

Centralized view of operations difficult to achieve

4/16/2015

  • MarketsMedia

Putting together a centralized view of a financial firm's compliance, operations, surveillance, trading and risk-management activities is important for transparency but remarkably difficult to achieve… 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 except South Korea fall

4/20/2015

  • CNBC
  • Economic Times (India), The

A sell-off swept most Asian-Pacific markets Monday after the People's Bank of China cut banks' reserve-requirement ratio to counteract an economic slowdown. Japan's Nikkei 225 slid 0.1%. Hong Kong's H… 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

Rajat Gupta loses bid to reverse insider trading conviction

4/20/2015

  • Reuters

The appeal of former Goldman Sachs Group director Rajat Gupta for a reversal of his insider trading conviction was rejected by the U.S. Supreme Court. Gupta is serving a two-year prison sentence after… Read More

IACPM Weekly SmartBrief

Credit market news

IACPM Weekly SmartBrief

Published in partnership with: International Association of Credit Portfolio Managers

Pricing of Europe's leveraged loans close to record high

4/13/2015

  • Bloomberg

The European Central Bank's unprecedented stimulus efforts have sent prices for Europe's leveraged loans soaring close to a record high, driven by demand from investors with an appetite for more risk.… 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

Across-team diversity can power innovation

3/30/2015

  • Knowledge.Insead.edu

Creating several teams -- each with different purposes and specializations -- can enhance the innovative potential of a company as a whole, writes Vikas Aggarwal. "Managing diversity should take into … Read More

IIA SmartBrief

Internal audit news

IIA SmartBrief

Published in partnership with: The Institute of Internal Auditors

Expert: Thorough transaction monitoring bolsters compliance

4/15/2015

  • JDSupra.com

Brainstorming with subject-matter experts, gathering and mapping data, and crafting effective queries are key steps in building an effective transaction-monitoring process, according to Joe Oringel of… Read More

Poliwogg SmartBrief

Follow the trends in Investment Management

Poliwogg SmartBrief

Published in partnership with: Poliwogg

ALPS Medical Breakthrough ETF (SBIO) gains praise

4/14/2015

  • Seeking Alpha (free registration)

A "unique aspect" of the ALPS Medical Breakthrough ETF (SBIO) is that "investments need to have cash for 2 years at the normal burn rate," Daniel Ward writes. The exchange-traded fund is based on a Po… Read More

SmartBrief on Risk and Compliance

News about finance and corporate risk management

SmartBrief on Risk and Compliance

Stress testing, communication key to managing tail risk

4/15/2015

  • Risk.net (subscription required)

"Scalable" stress testing and improved communication from the trading desk could help manage events such as the recent drop in oil prices and volatility in U.S. Treasurys, risk managers say. "I was ge… Read More