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Glossary

Underwriter

A financial specialist who assesses and assumes another party's risk for a fee, such as in the issuance of securities.

Underwriter News

Direxion selects SS&C ALPS Distributors

In this new arrangement, SS&C will act as the underwriter for issuance and distribution, as well as handle FINRA compliance

Industry
Credit Suisse Entities to pay US$10 Million for providing prohibited mutual fund services

The SEC has announced that Credit Suisse Securities and two affiliated Credit Suisse entities have agreed to pay more than US$10 million to settle the SEC’s charges that they provided prohibited underwriting and advising services to mutual funds

Markel appoints new pair

Markel International has made two appointments in its professional and financial risks division...

Industry
BNY Mellon selected by Formula Investing Funds

BNY Mellon Asset Servicing has been selected to provide its mutual fund turnkey solutions product, FundVantage Trust, which includes fund accounting and administration, custody, transfer agency, and underwriter services, to Gotham Asset Management...

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