SEC charges HSBC’s Swiss Private Banking Unit with providing unregistered services to US clients Wed, 26/11/2014 - 11:15

The SEC has charged HSBC’s Swiss-based private banking arm with failing to register with the SEC before providing cross-border brokerage and investment advisory services to US clients.

S&P Capital IQ Special Report

Can credit signals be a canary in the coalmine for equity investors?

In this report  S&P Capital IQ examines how credit events can impact on the price of equities. The results are compelling. The report looks at the relationship between credit indicators and equity back-tested returns. ​ »

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Over 1,000 investors have joined the web trading platform, Israel’s first secondary market trading arena, reports that over 1,000 investors have joined its platform since its launch. »

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UK Commercial Property provides investors with strongest returns in 2014

Investment returns on UK Commercial Property grew by 20.1% in the year to October, the highest among the nine1 key asset classes in this review according to new research by Lloyds Bank Private Banking.  »


Jupiter appoints Stephen Mitchell as Head of Strategy, Global Equities

Jupiter has appointed Stephen Mitchell to the role of Head of Strategy, Global Equities.  »

For Sale

Sarasin & Partners strengthens its UK discretionary sales team with two new hires

Sarasin & Partners has appointed Marc Robinson as Sales Director and Ally Kidd as Sales Support and Client Relationship Manager within its UK intermediary team.  »

risk in red blocks

Woodford Investment Management strengthens compliance and operations team

Asset management company Woodford Investment Management has appointed Simon Osborne as Head of Compliance and Gavin St John-Heath as Chief Risk and Operations Officer. »

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CFTC issues no action relief for family offices from CTA registration

The US Commodity Futures Trading Commission has issued a no-action letter providing family offices relief from commodity trading advisor registration, in connection with advisory services they provide to family clients. »

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Elian appoints John Connolly as group chairman

Elian has appointed John Connolly, formerly Global Chairman and Global Managing Partner of Deloitte, as its new Group Chairman. »

China flag

DAX licensed to Fortune SG for first passive index fund in China

Deutsche Börse has licensed DAX to Shanghai-based fund company Fortune SG Fund Management Co to serve as the basis of the first index fund to be developed in China. »

pound signs

Signia Wealth’s hedge fund proposition passes USD500m AUM

Signia Wealth has reached a major growth milestone, with its hedge fund proposition now passing GBP500 million in Assets under Management (AUM). »

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