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Investment Banking and Brokerage

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  • HONG KONG, June 10- Shares of Sinolink Securities jumped more than 7 percent to its highest in eight weeks on Tuesday afternoon, buoyed by the resumption of initial public offerings in the mainland after a four-month hiatus. Brokerage firms were generally stronger.

  • WASHINGTON, June 6- U.S. securities regulators filed civil lawsuits on Friday against a private trading platform and a major brokerage firm, citing both cases as part of an agency crackdown on violations of core equity market structure rules.

  • *Documents chats by Credit Suisse brokers; bank may be investigated. MUMBAI, June 6- India's stock market regulator may investigate the domestic unit of Credit Suisse Group to determine whether price sensitive information about a share deal that the authority has ruled to be insider trading was leaked by the investment bank.

  • NEW YORK, June 5- The former chief financial officer of Refco Inc avoided prison on Thursday in light of cooperation he provided prosecutors after admitting to his role in a $2.4 billion fraud that led to the 2005 collapse of the futures and commodities broker.

  • June 5- Dutch bank ING aims to list its insurance arm within two months, it said on Thursday, in one of the biggest European public share offers of the year which will complete the bank's enforced reformation since its state bail-out five years ago.

  • June 5- Dutch bank ING aims to list its insurance arm in the next two months via a public share offer, it said on Thursday, the last major step it needs to take in its reformation since being bailed out by the Dutch state during the financial crisis.

  • *John Kim named new head of M&A for Asia ex- Japan. HONG KONG, June 5- Goldman Sachs has named John Kim as its new head of mergers and acquisitions for Asia ex- Japan and will relocate Christos Tomaras from London to join that team, amid surging deal volumes in the region. Hong Kong, where Goldman Sachs is reinforcing its M&A team, has been particularly busy.

  • Thomas Peterffy talks high-frequency trading     Wednesday, 4 Jun 2014 | 9:55 AM ET

    Interactive Brokers' CEO and one of the top 50 richest Americans Thomas Peterffy expects the Fed's easy-money policy to continue unless the economy improves. He says if the market doesn't move, market makers like him don't make money, commenting on the anemic trading volumes.

  • Moscow investment bankers begin to feel the pinch Wednesday, 4 Jun 2014 | 8:56 AM ET

    "Some people primarily or solely focused on Russia are now not on Russia any more. Some people have moved back to London and don't do Russia any more or do Russia as part of a broad scope, "he said.

  • What are Islamic investors looking for?     Sunday, 1 Jun 2014 | 8:34 PM ET

    Ahead of the 5th World Islamic Banking Conference in Singapore, Nicholas Kaiser, Chairman & CIO at Saturna Capital discusses which companies he likes.

  • HONG KONG, May 29- China shares slipped back to negative territory on Thursday, hurt by weaker stockbrokers and profit-taking by investors who rotated out of recent high-performers. CITIC Securities, China's largest listed brokerage, was down 1.7 percent, while Haitong Securities shed 1.5 percent.

  • NEW YORK, May 28- The bidding process to build a mammoth system to track trading activity across the U.S. stock market is going through growing pains, with some participants grousing at a secretive process that excludes key groups, including brokerages.

  • LONDON, May 23- HSBC's Chief Executive Stuart Gulliver told shareholders on Friday that Europe's biggest bank had no plans to follow rivals by dramatically reshaping its investment bank.

  • *Atlas Mara to raise $400 mln to pursue acquisitions. *Barclays targets Africa potential as it scales back investment bank. This was just five days after Barclays, the British bank where Diamond was chief executive before he was ousted in 2012, announced the dismantling of the investment bank he built up and pinpointed Africa as one of its two main growth engines.

  • Corzine's ambition led to MF Global demise: Flowers Tuesday, 20 May 2014 | 10:03 AM ET
    Jon Corzine testifies at a Capitol Hill hearing on Dec. 15, 2011.

    Jon Corzine's ambition exceeded what the now-defunct MF Global brokerage could handle, private equity titan J. Christopher Flowers tells CNBC. But Flowers still considers Corzine a friend.

  • The Financial Industry Regulatory Authority is looking at instances in which brokerage firms may have used algorithms to engage in abusive trades, or failed to supervise the use of algorithms by their advisers, Rick Ketchum, FINRA chairman and chief executive, told reporters at the regulator's annual conference in Washington.

  • The Financial Industry Regulatory Authority is looking at instances in which brokerage firms may have used algorithms to engage in abusive trades, or failed to supervise the use of algorithms by their advisers, Rick Ketchum, FINRA chairman and chief executive, told reporters at the regulator's annual conference in Washington.

  • SAO PAULO, May 19- Greenhill& Co Inc and other global boutique investment firms are moving into Brazil, aiming to take advantage of strong mergers and acquisitions activity by poaching clients and deals from big-name banks.

  • LONDON, May 19- Europe and Asia dragged world equity markets lower on Monday as concerns about slower growth in China prompted investors to cut their risks. Shanghai shares hit a three-week low as Beijing unveiled new regulations that tighten its grip on interbank lending to defuse risks among "shadow" non-bank financial firms that act like banks.

  • FRANKFURT, May 19- Deutsche Bank said a decision to seek 8 billion euros in new equity capital was driven by uncertainty about the cost of new regulations and the need for funds to expand its investment banking business. It plans to sell the new shares combined with at least 1.5 billion euros in hybrid debt by June 4.