Tag: Nomura
Latest: Finra fines TD Ameritrade for disclosures on callable securities
International | Industry
13 Jun 2023 by SRP News
TD Ameritrade self-reported the lack of disclosure, which occurred from January 2016 to June 2021, to Finra, according to the settlement.
SRP in brief: lucky numbers
International | Industry
12 Jun 2023 by SRP News
This week sees trade associations sounding the alarm on new EU retail investment rules, while we learn why the number six has a special connotation of good fortune in Cantonese.
Exclusive: Former CS senior Apac QIS structurer resurfaces at Nomura
Asia Pacific | People
07 Jun 2023 by Summer Wang
The Japanese bank continues to bolster its equity structured solutions franchise as a key strategic priority in Asia.
SRP Apac 2023: asset class rotation and emergence of hedge fund plays
Asia Pacific | Conferences
04 May 2023 by Summer Wang
The SRP APAC Conference 2023 kicked off with three panellists from private banks sharing the strategy shift amid rising interest rates on 3 May.
SRP Apac 2023: asset class rotation and emergence of hedge fund plays
Asia Pacific | Expert View
04 May 2023 by Summer Wang
The SRP APAC Conference 2023 kicked off with three panellists from private banks sharing the strategy shift amid rising interest rates on 3 May.
People: Nomura elevates EQD heavyweight
International | People
31 Mar 2023 by SRP News
Nomura Holdings (Nomura) has appointed Simon Yates as global head of equities at Nomura Securities International (NSI), based in New York.
People: Former MS head of delta one structured products joins ASX
International | People
01 Mar 2023 by SRP News
The Australian exchange chooses equity derivatives and prime brokerage expert to run its markets business; Nomura moves to expand in the Americas; BlackRock promotes China head of onshore distribution business; and more.
Arrivals and departures: top moves of 2022 – Nomura, Vontobel
International | People
19 Jan 2023 by SRP News
As 2023 begins, SRP looks back at the most relevant people moves stories in 2022 highlighting hires and exits at the main issuers of structured products across markets.
Latest: Leonteq settles legacy litigation on commissions
International | Industry
03 Jan 2023 by SRP News
The Swiss structured products specialist firm rejected the claims brought forward by Old Mutual International (OMI) in 2018.
