The TRADE

JUNE 19, 2023

The SEC also found, in the second action, that between April 2011 to November 2017, PIMCO failed to waive an estimated $27 million of advisory fees as required by its agreement with the PIMCO All Asset All Authority Fund. PIMCO failed to comply with both of these critical obligations.”

Advisory 64

Advisory Investment Manager Asset Management Funds 64

Razorpay

AUGUST 9, 2023

Functions of Merchant Banks A merchant bank’s primary function is to provide financial and advisory services to medium-sized businesses. Portfolio Management Merchant banking companies provide portfolio management services to high -net-worth individuals and corporate investors.

Banking 52

Banking Bank Business Underwriting 52

The TRADE

MARCH 4, 2024

Atkins joined Redburn Atlantic in 2004 as a sales trader having previously served for eight years at Morgan Grenfell and two years at Marathon Asset Management. The global head of capital markets at German asset manager DWS, Keshava Shastry, has left the business, according to two people with knowledge of the matter.

Asset Management 72

Asset Management Sale Trading Equities 72

The TRADE

MAY 20, 2024

David Wilkins, head of FICC execution services EMEA and global EFX sales at Goldman Sachs, and James McGuigan, director FX eTrading at Citi became the latest members to join Tradefeedr’s client advisory group aimed at improving market transparency and data dialogue across the market.

Sale 64

Sale Asset Management Trading Investment Banking 64

The TRADE

DECEMBER 8, 2023

The SEC’s fellow domestic regulator, the Commodity Futures Trading Commission, also let the market know this summer through an advisory that some prime brokers may have to register as derivatives clearing organisations (DCOs), in what could be a burdensome process. Obviously, that process won’t cut it in a T+1 environment.

Broker 114

Broker Asset Management Trading Funds 114

Sica Fletcher

FEBRUARY 18, 2020

As the leading strategic advisory firm in the country for insurance brokers, all aspects of Sica | Fletcher’s business were extraordinarily active in the past year, including our advisory business, buy-side due diligence and our work with private equity firms.

Insurance 52

Insurance M&A Private Equity Advisory 52

The TRADE

JULY 24, 2023

Head of Europe for UK-based asset manager Federated Hermes, James Rutherford, has stepped down from his role to pursue a technology venture, The TRADE can reveal. I shall be taking up a more active role in a corporate development and investment advisory position, at an extraordinarily exciting time for the business.

Investment Manager 52

Investment Manager Management Investment Portfolio Management 52

The TRADE

FEBRUARY 12, 2024

Greg Finke joined the boutique asset manager after just over a year at Rothschild & Co as a senior investment dealer covering equities. Prior to joining Rothschild in January 2023, Finke spent nearly five years at Marathon Asset Management as a global equity trader covering equities and FX.

Capital 64

Capital Sale Asset Management Electronics 64

The TRADE

NOVEMBER 6, 2023

Stéphane Marie-Françoise, director, multi-asset trader, Unigestion Senior vice president and multi-asset trader at Unigestion, Stéphane Marie-Françoise, has an extensive financial markets career spanning more than 20 years. He began his career at the UK’s HM Treasury, before moving to AIG Investments to manage fixed income funds.

Trading 52

Trading Asset Management Equities Management 52

The TRADE

NOVEMBER 9, 2023

The TRADE would like to extend its congratulations once again to Beasley for her award! The post Goldman Sachs’ Eleanor Beasley takes home the Industry Person of the Year Award 2023 appeared first on The TRADE.

Trading 52

Trading Equities Asset Management Management 52

Peak Frameworks

OCTOBER 30, 2023

Commercial Banks: These cater to businesses, providing loans, treasury, and cash management services. Morgan, which offer services in underwriting and M&A advisory. These services can range from simple wealth management advice to intricate financial planning and strategy. Let’s dive into the primary sources.

Banking 52

Banking Bank Proprietary Trading Investment Banking 52

Razorpay

DECEMBER 15, 2024

A private banker is a financial professional who manages the investments and financial needs of high-net-worth individuals and organizations. Private bankers provide personalized financial services, such as asset management, estate planning, and tax advice.

Bank 52

Bank Banking IT Management 52

Intrepid Banker Insights

NOVEMBER 2, 2022

I had forgotten about the magic that happens at these events, like the random breakfast table conversation that turns into a business opportunity or the chance meeting with someone you would never seek out in your daily life who ends up putting an inspiring idea into your head.

Business 52

Business Asset Management IT Manufacturing 52

Accenture Capital Markets

AUGUST 23, 2022

At the same time, competition is intensifying across the industry—from traditional wealth managers, asset managers, insurers, workplace providers, independent advisors, banks and new wealth techs. This has given rise to a fierce battle for mass affluent clients in which they are presented with many more options to choose from.

Management 52

Management Investment Collaboration Bank 52

The TRADE

MAY 1, 2024

Papanichola then re-joined the industry in 2007 for a brief stint on Barclays’ proprietary trading desk before serving in a series of head of trading roles at hedge funds Perry Capital, Centaurus Capital and P Squared Asset Management. And those are just the public ones.

Trading 59

Trading Capital Funds Investment 59

The TRADE

OCTOBER 18, 2024

Additionally, we remain vigilant in working with emerging talent early and providing them differentiated resources across consulting capital introductions, talent management, technology and client service to help these new entrants launch their businesses successfully.”

Broker 69

Broker Funds Bulge Bracket Bank 69

JD Supra: Mergers

FEBRUARY 6, 2025

This will likely include trading platforms, exchanges, clearinghouses, brokerage firms, asset managers, and investment advisory firms that are registered with and regulated by the Commodity Futures Trading Commission (CFTC).

Asset Management 172

Asset Management Advisory Capital Market Trading 172

JD Supra: Mergers

MARCH 7, 2025

The UKs Financial Conduct Authority ("FCA") has published findings from its multi-firm review of valuation processes for private market assets.

Valuation 161

Valuation Private Equity Portfolio Management Asset Management 161

The TRADE

JANUARY 14, 2025

Stockholm-based Sjstrm Chanteloup joins from JP Morgan Asset Management, having most recently served as head of Nordic ETF distribution. New hires follow the firms majority acquisition of Trackinsight, as Kepler seeks to offer the ETF industry a comprehensive and unique proposition that combines data, advisory, and execution services.

Sale 59

Sale Asset Management Investment Banking Advisory 59

Mergers and Inquisitions

MARCH 5, 2025

Then there are mid-sized funds with between $1 and $10 billion in AUM, such as Braidwell, BVF Partners, Casdin Capital, Cormorant Asset Management, Deep Track Capital, EcoR1, PFM Health Sciences, Polaris Partners, Rock Springs, and Vivo Capital. Other large funds include Perceptive Advisors, RA Capital, and RTW.

Funds 64

Funds Healthcare Mergers and Acquisitions Valuation 64

The TRADE

APRIL 30, 2025

US fragmentation Hinmon, who sits on both the SIP and CAT (Consolidated Audit Trail) advisory boards among others, took home the Buy-side Market Structure Expert of the Year Award at Leaders in Trading New York 2024 after multiple industry nominations by peers and clients. People respect you more when you do that. Is that really what we want?

Trading 52

Trading Equities Retail S&P 52