The TRADE

FEBRUARY 7, 2024

The Securities and Exchange Commission (SEC) has adopted two rules related to changes to the definitions of ‘dealer’ and ‘government securities dealer’, with the final rule set to inflict more scrutiny and compliance burdens on hedge funds.

Trading 64

Trading Funds Securities Financial Institution 64

Razorpay

MAY 15, 2024

To use this service, simply dial the USSD number from your registered mobile number and follow the interactive menu on your mobile screen for transactions. You will see a list of all accounts registered with your mobile number on the screen. What are the security measures for offline UPI transactions? per transaction.

Accountant 97

Accountant Bank Banking Financial Institution 97

TechCrunch: M&A

MAY 17, 2023

Securities and Exchange Commission due to the nature of XRP token sales. The SEC argued that XRP is a security and it should have been registered with the commission. While Ripple and XRP are technically separate entities, Ripple still owns a large amount of XRP tokens. In 2020, Ripple and its team faced a lawsuit from the U.S.

Sale 246

Sale Portfolio IT Finance 246

Sidley Shareholder Litigation

NOVEMBER 28, 2023

Naming a registered investment company will become more challenging now that the Securities and Exchange Commission has significantly broadened the scope of the rule governing fund names. Moreover, the SEC estimates that when the Names Rule goes into effect, three out of four registered funds will be subject to the new requirements.

Funds 52

Funds Government Investment Securities 52

OfficeHours

AUGUST 10, 2023

Rohit brings experience from growth equity investing from Battery Ventures and operating experience from SourceScrub where he was Employee #2 and helped scale the business to an investment from Francisco Partners.

Corporation 130

Corporation Recruitment Investment Banking Analyst M&A 130

The TRADE

MAY 9, 2024

Citi joins existing investors Kaszek Ventures, Dila Capital and BCP Securities. The ATS is registered with the SEC and the broker-dealer activities of Cicada Securities – a subsidiary of CT – are regulated by FINRA.

Trading 69

Trading Investment Electronics Government 69

The TRADE

FEBRUARY 20, 2024

TD Securities has gone live as a member on LCH SwapAgent, becoming the first Canadian bank member to do so. LCH SwapAgent’s member count has now grown to 44, spanning 12 countries, which have holistically registered over $5.9 The post TD Securities joins LCH SwapAgent as first Canadian bank member appeared first on The TRADE.

Securities 64

Securities Bank Banking Transportation 64

The TRADE

AUGUST 24, 2023

The Securities and Exchange Commission (SEC) has moved to expand the remit of national securities associations such as the Financial Industry Regulatory Authority (FINRA). The move to increase the number of broker dealer firms registering with FINRA comes as the commission aims to promote fair, orderly, and more efficient markets.

Trading 98

Trading Proprietary Trading Broker Securities 98

The TRADE

APRIL 4, 2024

The Securities and Exchange Commission (SEC) has charged Senvest Management for widespread and longstanding failures to maintain and preserve certain electronic communications. Senvest Management is a registered investment advisor based in New York, employing investment strategies across approximately $3 billion in assets under management.

Management 72

Management Electronics Securities Advisory 72

Business Standard - FInance

JUNE 16, 2023

Capital markets regulator Sebi on Friday restricted online bond platform providers from offering products other than listed debt securities on their platforms. Under the rules, Online Bond Platform Providers (OBPPs) need to register themselves as stock brokers in the debt segment of the stock exchange.

Debt 52

Debt Broker Capital Market Investors 52

IBG

JANUARY 9, 2023

Good News for M&A Brokers: Congress Passes a New Securities Registration Exemption for Merger and Acquisition Brokers. The Registration Exemption for Merger and Acquisition Brokers is by no means a blanket exemption from compliance with securities law. taking custody of funds or securities. Johnson , M&AMI.

Broker 52

Broker Mergers and Acquisitions M&A Securities 52

The TRADE

FEBRUARY 1, 2024

FalconX has integrated with Fusion Digital Assets, TP ICAP’s FCA registered wholesale spot crypto asset exchange, as part of a strategic partnership. It underscores our commitment to providing secure, efficient, and seamless access to the global digital asset market for our clients.”

Financial Market 64

Financial Market Collaboration Securities Trading 64

The TRADE

FEBRUARY 6, 2024

ICE TMC offers execution of: mortgage-backed securities; certificates of deposit; and corporate, government, municipal, and agency bonds. Tigress is the industry’s only certified disabled and women-owned financial services firm with a network of dealers and investment managers.

Trading 59

Trading Financial Services Investment Manager Government 59

Razorpay

SEPTEMBER 19, 2023

This opens up a range of commercial opportunities for businesses – recovering abandoned carts, upselling, collecting advance payments, securing COD orders, and so much more. Register Here Conclusion WhatsApp is not just the most popular chat app in India but also the most preferred channel for consumers to interact with brands.

Business 105

Business Professional Services Financial Services Education 105

The TRADE

DECEMBER 18, 2023

Baton Systems added that the network also comprises more than 94% of cleared margin posted by US registered FCMs [futures commission merchants]. In doing so, they are improving the efficiency of the collateral management process, allowing more effective funding decisions to be made and reducing operational risk.”

Management 72

Management Collaboration Trading Finance 72

Focus Investment Banking

APRIL 26, 2024

Securities transactions conducted by FOCUS Securities LLC, an affiliated company, registered Broker Dealer member FINRA/SIPC. For 40+ years FOCUS has been helping founders and business owners sell, buy, or raise capital to achieve their goals. For more information, visit www.focusbankers.com.

Middle Market 52

Middle Market Investment Banking M&A Bank 52

Focus Investment Banking

MARCH 19, 2024

Securities transactions conducted by FOCUS Securities LLC, an affiliated company, registered Broker Dealer member FINRA/SIPC. For 40+ years FOCUS has been helping founders and business owners sell, buy, or raise capital to achieve their goals. For more information, visit www.focusbankers.com.

Investment Banking 52

Investment Banking M&A Bank Banking 52

The TRADE

AUGUST 11, 2023

Crypto trading platform Bittrex – along with its former chief executive, William Shihara – has been ordered to settle SEC charges for failing to register as an exchange, broker and clearing agency.

Broker 52

Broker Trading Investors Securities 52

TechCrunch: M&A

APRIL 27, 2023

The Korean fintech firm offers online and offline payments, money transfer, credit rating, insurance and loan services to approximately 40 million registered users in South Korea. market and strengthen its brokerage unit Kakao Securities at the same time. securities, lower securities trading fees and more,” Gebbia said.

Financial Services 100

Financial Services Trading IT M&A 100

The TRADE

SEPTEMBER 19, 2023

The requirements set forth by the US Securities and Exchange Commission (SEC) adopted amendments to Rule 204-2. transactions with SEC-registered brokers subject to SDA) to make and keep records of confirmations received, and allocations and affirmations sent, each with a date and time stamp.

Trading 59

Trading Broker Investment Manager Management 59

The TRADE

SEPTEMBER 19, 2023

Eurex’s offering allows clients to trade repos with more than 160 registered participants and allows participants to raise or place cash against over 13,000 securities, both domestic and international.

Trading 59

Trading Risk Management Management Bank 59

Focus Investment Banking

OCTOBER 2, 2023

Securities transactions conducted by FOCUS Securities LLC, an affiliated company, registered Broker Dealer member FINRA/SIPC. Whether helping to sell, buy, or raise capital, FOCUS strives to maximize the value of every transaction for the benefit of its clients. For more information, visit www.focusbankers.com.

Investment Banking 52

Investment Banking M&A Bank Banking 52

Razorpay

OCTOBER 27, 2023

However, fraud vulnerabilities and security breaches make internet security a challenging task. This can be achieved by having sufficient security measures in place. You must have various online payment security measures in place to protect customer data and to provide them with a safe experience.

Securities 98

Securities Bank Banking Business 98

Midaxo

APRIL 13, 2023

The webinar will take place on April 20th, 2023 at 3:30 pm ET, so make sure to register today to secure your spot.

M&A 100

M&A Utilities Management Shares 100

The TRADE

NOVEMBER 20, 2023

Australian securities exchange ASX is set to replace its cash equities clearing and settlement platform with Tata Consultancy Services’ (TCS) platform, a proactive step in overhauling the post-trade offering after its six-year long blockchain ambitions came to an end in 2022.

IT 59

IT Trading Financial Services Consulting 59

Focus Investment Banking

OCTOBER 30, 2023

Securities transactions conducted by FOCUS Securities LLC, an affiliated company, registered Broker Dealer member FINRA/SIPC. Whether helping to sell, buy, or raise capital, FOCUS strives to maximize the value of every transaction for the benefit of its clients. For more information, visit www.focusbankers.com.

Investment Banking 52

Investment Banking Middle Market M&A Bank 52

TechCrunch: M&A

AUGUST 18, 2023

At the time, Boxed had more than 7 million registered users and reported it was close to profitability. This April, Boxed announced it would sell its Spresso software-as-a-service business to its first lien secured lenders while winding down its remaining retail business as part of the bankruptcy process.

Mergers and Acquisitions 169

Mergers and Acquisitions Retail Food Acquisitions 169

Razorpay

MAY 6, 2024

You will receive an OTP on your registered mobile number, which you must enter to approve the transaction. IMPS is a fast, secure and convenient way of transferring money, especially for small and urgent payments. Register for mobile banking and get your MMID from your bank. Download the mobile banking app of your bank.

Funds 98

Funds Accountant Bank Banking 98

Focus Investment Banking

OCTOBER 2, 2023

Securities transactions conducted by FOCUS Securities LLC, an affiliated company, registered Broker Dealer member FINRA/SIPC. Whether helping to sell, buy, or raise capital, FOCUS strives to maximize the value of every transaction for the benefit of its clients. For more information, visit www.focusbankers.com.

Investment Banking 52

Investment Banking Middle Market M&A Bank 52

Cooley M&A

SEPTEMBER 8, 2021

The implementation of such “foreign direct investment” (FDI) regimes has accelerated as national governments broaden their conceptions of national security issues and seek to protect an expansive range of industries and technologies. Register for on demand viewing. For more information, please email Melissa Monnier. Christine Graham.

M&A 52

M&A Investment Government Securities 52

M&A Leadership Council

OCTOBER 31, 2023

You can learn more about the system requirements and download the latest Zoom Security White Paper for more detailed information. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:  nasbaregistry.org.

Management 52

Management M&A Shares Corporation 52

M&A Leadership Council

OCTOBER 31, 2023

You can learn more about the system requirements and download the latest Zoom Security White Paper for more detailed information. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:  nasbaregistry.org. Online Platform: Our events are held on the Zoom platform.

M&A 52

M&A Mergers and Acquisitions Management Collaboration 52

Focus Investment Banking

JULY 27, 2023

These averages outperformed the platform-wide figures by nearly 50%, underscoring the top investment banks' proficiency in securing and marketing deals that consistently outpace market norms. Securities transactions conducted by FOCUS Securities LLC, an affiliated company, registered Broker Dealer member FINRA/SIPC.

Middle Market 52

Middle Market Investment Banking M&A Bank 52

Growth Business

JUNE 7, 2023

In 2022 it secured $312m (£250m) in funding and was valued at $2.1bn (£1.7bn), which bestowed European and UK unicorn status upon the company. 4 – Zilch UK In November 2021 Zilch became one of the fastest-growing double unicorns in Europe and was registering 250,000 new customers every month. See additional roles, here. #3

Funds 82

Funds Bank Banking Investment 82

M&A Leadership Council

AUGUST 31, 2022

Register Now. You can learn more about the system requirements and download the latest Zoom Security White Paper for more detailed information. Course Summary. Please check with your IT department to verify your ability to use this platform. Please note that all training programs will be password protected. Tuition and Discounts.

M&A 52

M&A Business Management Government 52

GillAgency

JULY 16, 2023

The company derives its revenue from multiple technology services such as internet connectivity, cyber security, webhosting among others. The company is also a registered CLEC (competitive local exchange carrier) in the state. The largest revenue segment comes from cloud computing and cloud support.

Management 52

Management Acquisitions Sale Business 52

Devensoft

MAY 16, 2023

Cybersecurity due diligence is the process of evaluating an organization’s security posture from a cyber perspective. Comparing security standards Cybersecurity due diligence will help you determine the security posture of the target company and whether it meets your organization’s security standards.

M&A 52

M&A Mergers and Acquisitions Securities Acquisitions 52