Securities

In what would be its third acquisition in a year, the company formerly known as BofI Holding is buying a firm that clears trades for independent broker-dealers.

On Jun. 30, 2018. Dollars in thousands.

A big acquisition engineered by Claudine Gallagher catapulted BNP Paribas into the top 10 U.S. mutual fund administrators.

As competitors retreated from securities lending, BNY Mellon's Michelle Neal saw an opening.

On Mar. 31, 2018. Dollars in thousands.

Saburo Araki said he's giving a high priority to what he describes as the difficult task of stamping out staff harassment since he took over in April as head of Mitsubishi UFJ Financial Group's brokerage venture with Morgan Stanley.

On Dec. 31, 2017. Dollars in thousands.

HSBC agreed to pay $100 million to settle an antitrust lawsuit by over-the-counter investors, including the city of Baltimore and Yale University, who claimed they were harmed when they bought securities tied to rigged Libor.

Confusion over whether certain digital currency transactions are considered securities is shutting many U.S. investors out of initial coin offerings and spurring illegal behavior.

Confusion over whether certain digital currency transactions are considered securities is shutting many U.S. investors out of initial coin offerings and spurring illegal behavior.