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FINRA fines Credit Suisse $1.75mn


28 December 2011 Washington
Reporter: Anna Reitman

FINRA has announced that it has fined Credit Suisse $1.75 million for violating RegSHO and failing to properly supervise short sales of securities and marking of sale orders. ...
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Penson to close UK arm
21 December 2011 London
Reporter: Ben Wilkie

Penson Worldwide has announced plans to close its UK operation over the next few months, and to sell certain of the operation’s assets to third parties...
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Lombard acquires reg reporting business of SOFGEN
19 December 2011 London
Reporter: Ben Wilkie

Lombard Risk Management has acquired the regulatory reporting business of SOFGEN for 
US$4,250,000 payable in a combination of cash, loan notes and equity...
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Life Insurers Seek Higher Returns Despite Short interest
15 December 2011 London
Reporter: Ben Wilkie

The life insurance industry has been forced to adjust against a backdrop of exceptionally low interest rates in search of higher returns. In doing so, some names have attracted the attention of short sellers
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Thailand reports sec lending boom
15 December 2011 Bangkok
Reporter: Ben Wilkie

The securities lending and borrowing market in Thailand has had its busiest year ever, thanks to a combination of economic uncertainty in Europe and a recent relaxation of controls on trading...
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BlackRock’s collateral changes
13 December 2011 London
Reporter: Justin Lawson

BlackRock’s money market funds now available to re-invest cash collateral at Euroclear Bank.....
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Greece extends short selling ban
09 December 2011 Athens
Reporter: Anna Reitman

The Hellenic Capital Market Commission has extended a short selling ban on the Athens stock exchange tto 27 January, according to Reuters...
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Egypt certifies short selling
08 December 2011 Cairo
Reporter: Anna Reitman

Egypt's financial regulator has certified rules and criteria for companies eligible for margin trading, short selling and intra-day trading, according to the Egyptian exchange...
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Â鶹´«Ã½ lending on India's NSE booms
08 December 2011 Mumbai
Reporter: Anna Reitman

Stock lending has been booming in the last three months due to reverse arbitrage opportunities thrown up by equities, reports DNA media...
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