The end is nigh: The world of public offerings will come to an end soon – at least as we know it. The reason is that from July on the new EU Prospectus Regulation will apply and bring plenty of changes for investors and issuers. Here is what you need to know. Until recently, some …
A Final Countdown: The new Prospectus Regulation in a Nutshell Read More »
A word of warning about RegTech Investment analytics Before we dive into a presentation and analysis of investment activity in the RegTech sector, we need to issue a word of warning or two: the numbers below are for reference purposes only and can never be absolutely accurate. On one hand, it would go beyond the …
What are the biggest investment banks in the world, what are they worth and how much do they make? Reporting season is in full swing with a number of banks reporting their latest results last week and this one. Thus, it’s a good time to take stock and have a look at the numbers. There …
Finance for Compliance Professionals: The 10 Biggest Investment Banks in the world Read More »
The European Securities and Markets Authority (ESMA) has updated its Questions and Answers document (Q&A) on prospectus related issues. The Q&A includes two new questions and answers on advertisements and Alternative Performance Measures. The first new question on advertisements addresses how the requirement to disseminate an amended advertisement at a minimum through the same means …
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred David Michael Gutman, a Vice President in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P, from the securities industry for their roles in an insider trading scheme. Gutman and Tyndall were …
FINRA bars investment firms VP and Broker Friend in Insider Trading Scheme Read More »
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