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EquiLend, Prime Brokers Settle Sec Lending Antitrust Lawsuit

September 1, 2023 By Chris Kentouris Leave a Comment

E-trading platform for securities lending EquLend has agreed to pay pension funds and others part of a whopping $500 million and to revamp its governance policy to settle an antitrust class-action lawsuit which includes prime brokers Goldman Sachs, Morgan Stanley, JP Morgan Chase and UBS. The plaintiffs in the case led by the Iowa Public […]

Filed Under: Brokerage Ops, Compliance, Regulations, Sec Lending Tagged With: Compliance, Data, Trading

Will Wall Street Earn Windfall For US CUSIP ID Codes?

August 11, 2023 By Chris Kentouris Leave a Comment

Data management, trading, post-trade operations and compliance managers at buy-side and sell-side firms might one day no longer have to worry about their organizations being forced to pay for US identification codes and could even celebrate their winning over US$1 billion in compensation from CGS and others. Judge Katherine Polk Failla of the Southern District […]

Filed Under: Data, Regulators, Rules, Rules, Standards Tagged With: Compliance, Data, Post-Trade, Regulators, Reporting, Standards, Trading

FREE WEBINAR: Outsourced and Supplemental Trading: How the Buy Side is Benefitting Today

September 22, 2020 By Chris Kentouris Leave a Comment

Sponsored by Tourmaline Partners Save the Date: Thursday, October 15, 2020 Time: 10AM EST Go to www.tourmalinepartnersllc.com/finops-report-webinar to register for the free dial-in details Join Tourmaline Partners and FinOps Report for a free webinar on how the buy-side is benefitting from outsourced and supplemental trading. Access to liquidity, cost rationalization, operational efficiency, regulatory compliance, and […]

Filed Under: Compliance, Funds, Investments, Ops Risk, Outsourcing Tagged With: Fund Ops, Hedge Funds, Investment Ops, Trading

NY Court: Goldman’s Morse Can Sue Fidessa for Wrongful Termination

September 21, 2018 By Chris Kentouris Leave a Comment

A New York appeals court has just sent a stern warning to Wall Street, fintech and other firms: you can’t fire any of your employees simply because of who they married to or are even romantically involved with. The Appellate Division of New York’s First Department ruled that Christopher Morse, now vice president of electronic […]

Filed Under: Compliance, Financials, Risk, Trading Tagged With: Compliance, Trading

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