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Showing 11 - 20 of 55 results for "Financial Instruments"

LEI registrations double

ELIZA BAVIN  |  FRIDAY, 3 JUL 2020
... experience when clients are applying and renewing an LEI, which is a requirement in the trading of certain financial instruments." Donohoe said APIR has consistently recorded strong growth in LEI registrations over recent years, with 2019/20 seeing a ...

Global ETF leaders push for reform

ALLY SELBY  |  FRIDAY, 5 JUN 2020
... futures. The proposal notes that ETIs would also include pooled investment vehicles, debt issuers, or similar financial instruments that that have embedded structural features designed to deliver a return other than the full unlevered return of the underlying ...

Ponzi scheme rakes in almost $1.5bn

HARRISON WORLEY  |  TUESDAY, 28 JAN 2020
... private jet service, 150 luxury sports cars and multiple properties. Daniel Michael, chief of the complex financial instruments unit of the SEC's enforcement division said that while the Carpoffs' pitch to investors seemed new and innovative, their ...

UBS fined $51m for reporting breaches

KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... organise and control its affairs responsibly and effectively." The regulator based the breaches on Markets in Financial Instruments Directive (MiFID) rules from 5 November 2007 until 2 January 2018. When a firm reports its transactions, it may do so ...

Insurer awards $80m mandate

KANIKA SOOD  |  MONDAY, 10 DEC 2018
... through deep research and long track records of analysing investor behaviour, investing across regions and financial instruments," Watson said. The $41.4 billion H2O Asset Management is one of Natixis' 26 investment managers which collectively manage ...

Special Report: Hitting new ETF goals

KARREN VERGARA  |  FRIDAY, 16 NOV 2018
... are increasingly starting to carve out market share. Once ETFs pass $1 billion they are known as "viable financial instruments" that sit in the league of traditional insto instruments like futures or swaps, she says. When an ETF becomes a viable instrument ...

New accounting standards put pressure on life insurers

KARREN VERGARA  |  THURSDAY, 13 SEP 2018
... Financial Reporting Standard 17 (Insurance Contracts) and International Financial Reporting Standard 9 (Financial Instruments). From the 1 January 2021 reporting period, the standards will apply to the life and general sector. Commenting on the local ...

Confidence remains in face of regulatory headwinds

JAMIE WILLIAMSON  |  FRIDAY, 31 AUG 2018
... Investment Trusts (AMIT) and Regulatory Guide 97 (RG97) in Australia, the European Union's (EU) Markets in Financial Instruments Directive (MiFID II) and General Data Protection Regulation (GDPR) have impacted firm's capabilities in recent times. This ...

Liquidnet and OTAS ramp up AI play

DARREN SNYDER  |  THURSDAY, 31 MAY 2018
... Clients were looking for alternate technology solutions particularly as the European Union's Markets in Financial Instruments Directive II (MiFID II) regulation started in January. MiFID II essentially separates or unbundles the pricing of investment ...

Fintech launches active trading platform with no monthly fees

KANIKA SOOD  |  TUESDAY, 17 APR 2018
... Capital Markets Australia has launched its new active trading platform that will let users trade over 35,000 financial instruments at no monthly fees and without expensive legacy hardware. The product is aimed at professional traders and smaller institutional ...