Tag: market-institutions
Concepts
- Clearing Members and Client Clearing
- Exchange Consolidation and Vertical Silos
- Exchange Listing Standards and Market Tiers
- Executing Brokers and Give-Up Agreements
- Who Regulates What: SEC, CFTC, FCA, ESMA
- Global Custody and Sub-Custodian Networks
- How Exchanges Make Money
- Index Providers and Their Business Model
- Initial Margin and Variation Margin at a CCP
- Investment Consultants and Manager Selection
- Multilateral Netting and Its Benefits
- NRSRO Status and Rating Agency Regulation
- Proxy Advisory Firms
- Self-Regulatory Organisations and FINRA
- Sell Side vs Buy Side
- Settlement Discipline and Fail Penalties
- Street Name Registration and Beneficial Ownership
- Trade Repositories and Reporting Infrastructure
- Transfer Agents and Share Registrars
- What a Custodian Does
- What a Prime Broker Actually Does