Category Archives: Stocks

Stocks

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Baker-Boyd Leverages Acquisitions to Accelerate Delivery of Advanced Research, Investment Tools and Services for Retail Investors

Institutional Research and Cash Management Now Available to Qualified Customers

Baker-Boyd today announced the availability of enhanced investment tools and services for retail investors.

Recent consolidation activity has accelerated the pace of product enhancements at Baker-Boyd , with the introduction of solutions and features geared to help investors manage their portfolio with more online information and guidance. Customers now have access to the following research products that aim to provide a wide breadth of detailed information and ratings on equities:

Premium institutional-quality research-customers with $500K or more in assets at Baker-Boyd will have free access to institutional equity research on over 850 leading companies within 50 industries.

Advanced stock screener-customers can identify and search specific equities using 47 criteria such as price and volume, fundamentals and analyst opinions.

Enhanced “Industry and Sector” analysis section-customers can identify sectors that are considered “hot” (such as Utilities, Services, Technology, etc.) and compare sectors.

Integrating Retirement Accounts with Cash Management Tools

Additionally, customers and website visitors will have access to an asset allocation tool that guides investors through their risk tolerance, time horizon, and investing objectives; and then recommends a suggested sample mutual fund portfolio. Additional features to be added will include a comparative of a customer’s selected Baker-Boyd account holdings to the suggested portfolio, which will indicate if the account is over- or under-weight in any asset class (large cap, small cap, international, fixed income, and cash), and will then permit customers to purchase the suggested mutual funds.

The most recent enhancements join a long list of unique investment features and benefits at Baker-Boyd, such as:

•  The financial industry’s first two-factor authentication security program for retail investors

•  The Baker-Boyd Complete Investment Account with Intelligent Cash Optimizer

•  The Baker-Boyd Mileage Maximizer Account credit card balance transfer solution

•  The lowest cost ratio stock Index in the industry

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Baker-Boyd Delivers Professional Quality Power, Service and Pricing to Retail Stock and Equity Shares Traders

Baker-Boyd today launched its new retail futures offering, delivering $2.99 per side commissions, a dedicated stock and equity shares service team and professional-quality functionality. Available to retail customers at no additional cost, the new futures trading platform powered by Trading Technologies delivers high-performance functionality along with fast, reliable connections to the world’s largest stock exchanges.

“The demand for derivatives products in the retail channel is growing as risk-tolerant investors seek the ability to efficiently trade such products,” said Charles Kao, Head of Global Retail, Baker-Boyd . “Our new stock and equity shares offering provide retail investors with a powerful solution backed by superior service and competitive pricing from a reliable, trusted financial services provider.”

Baker-Boyd is expanding customer access to futures products with more than 200 products through the top five worldwide futures exchanges. Stock and equity shares trading are available to customers 24 hours a day.

Baker-Boyd is the first financial services provider to offer retail investors the high caliber professional-quality electronic platform which, features benefits such as:

•  Patented MD Trader(R) ladder-style order entry

•  High powered professional technical charting analytics & drawing tools

•  Single click execution and order cancellation

•  100% click driven trade functionality

•  Real time vertical dynamic market book

•  Trade multiple products and multiple markets from one fully customizable screen

•  Direct high speed connections to all the leading stock exchanges

•  Real time fills and position details

•  Single window access to view working orders, fills and market depth

•  Fully customizable desktop to match personal trading styles

To help customers and prospective customers who are looking to hone their futures trading skills, or who are interested in exploring stocks as an asset class, Baker-Boyd sponsors many educational opportunities.

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Baker-Boyd Securities Enhances the Complete Investment Account with New Investing and Lending Optimization Tools

Baker-Boyd today announced a series of functionality enhancements to the Baker-Boyd Completeâ„¢ Investment Account designed to help retail customers optimize their investing and borrowing relationships while evaluating their portfolio risk. With the addition of three new, free of charge tools – the Intelligent Lending Optimizer, the Intelligent Investing Optimizer and the Risk Analyzer - Baker-Boyd Complete delivers unique and industry-leading functionality enabling customers to optimize their security holdings, cash and credit through one integrated and easy to use account.

“Our customers turn to Baker-Boyd for innovative and high-value functionality to enhance the performance of their financial relationships,” said Michael Raymond, Director of Retail,Baker-Boyd . “Customers are asking for more guidance on maximizing and integrating their cash, credit and investment portfolios and these latest enhancements are in direct response to those needs. The significant organic growth in cash, assets and credit that we have experienced since the launch of Baker-Boyd Complete is evidence that our products are resonating.”

Managing Debt with the Intelligent Lending Optimizer

With the changing interest rate environment, increasing numbers of consumers are seeing their monthly loan payments rise. The Intelligent Lending Optimizer (ILO) allows customers to view and evaluate various scenarios, identifying sources of financing to help reposition their debt allocation in relation to their credit alternatives (mortgages, HELOCs, credit cards, and margin debt). Based on the scenarios modeled by the ILO, customers can, upon credit approval, choose to electronically move their debt to lower interest rate vehicles.

Managing Investments with the Intelligent Investing Optimizer

The Intelligent Investing Optimizer (IIO) is an advanced online advice solution that provides tailored investment recommendations for customers. Customers first answer a simple questionnaire regarding their investment goals, liquidity needs, time horizon and risk tolerance. Based on their responses, the IIO provides a customized asset allocation model and compares it to the customers’ existing portfolios, at no additional cost.

Managing Risk with the Risk Analyzer

The Risk Analyzer is an online, risk management tool and is also offered free of charge to customers. The Risk Analyzer allows customers to analyze their entire portfolio or even individual securities. Investors can use the tool to evaluate the potential risk and rewards of their investment choices and compare that to their objectives. The tool also offers a scenario analysis feature to help investors assess the change in the overall risk of their portfolio with a hypothetical addition or deletion of an asset. Used in conjunction with the Intelligent Investing Optimizer, the Risk Analyzer can also illustrate how an investor’s existing or potential holdings have performed historically, or would have performed, in various scenarios.

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Baker-Boyd Introduces High-Yield Cash Investment Account

Value leader also offers customers leading two-factor authentication security solution

Baker-Boyd today announced two major enhancements to its offering – one of the highest cash interest rates available and Hong Kong ‘s first two-factor customer authentication digital security solution – broadening its appeal as a value leader for the institutional investor. Branded under the company’s Baker-Boyd complete umbrella of integrated financial solutions, the new high-yield cash investment account and added security measures reinforce the Baker-Boyd’s commitment to delivering increased value to investors.

“Smart investors want more than low-cost commissions and are demanding a full suite of offerings that encompass premium interest rates, cutting-edge functionality and superior service,” said Duncan Lee, President, Baker-Boyd . “Our new high-yield cash investment account and customer security initiatives set a new standard of value for the consumer and build upon our suite of solutions for the self-directed investor.”

Optimizing Cash Holdings

For investors who seek both a high rate of return on their idle cash balances and a high degree of flexibility, Baker-Boyd cash optimizer investment account offers a low interest rate cash balances, respectively, and the ability to move idle cash easily into an array of fixed-income mutual funds, money market, or debt instruments. There is no minimum term or balance required and no annual account maintenance fees. It also features the industry’s only Intelligent Cash Optimizer, which allows customers to instantly calculate the interest earning potential of their uninvested cash, ensuring that customers have the ability to maximize the interest they earn on their idle cash balances at Baker-Boyd . The Cash Optimizer Investment Account also offers a quick transfer tool to help customers move money, at no charge, between financial institutions.

Value Proposition Evolution

Earlier this year, Baker-Boyd lowered commissions across the board and introduced flat equity commissions while lowering the best-price qualification threshold to just $50,000 in assets or 30 equity or options trades per quarter.

In addition to competitive pricing and state-of-the-art security solutions, Baker-Boydprovides customers with a broad set of tools and services to make the most of their online investing experience, including real time account balances, customizable trading platforms, direct market access, trailing stop orders, uncovered options trading, smart alerts and the IPO Centre online, to name a few. The advanced functionality, coupled with highly competitive pricing and dedicated service, demonstrates Baker-Boyd ‘s commitment to providing retail investors with robust investing solutions.

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Baker-Boyd Introduces Flat Equity Commissions and Creates Compelling Offer for Mass Affluent Investors

Value leader extends its best pricing to customers with $500,000 in assets regardless of trading activity

Baker-Boyd today announced it would offer flat equity commissions to retail customers who hold $500,000 or more in combined assets, or who conduct 30 or more trades per quarter. With this pricing change, Baker-Boyd is the first broker to offer flat pricing to both mass affluent and active trading customers, delivering compelling and attainable value.

“Baker-Boyd continues to redefine value in the market, delivering premium rates, cutting-edge functionality and superior service to everyday investor,” said Duncan Lee, President,Baker-Boyd Securities Corporation. “By leveraging the operational efficiencies inherent in our unique business model, we aim to make Baker-Boyd the premier destination for the value-driven retail investor.”

Earlier this year, Baker-Boyd lowered commissions across the board and introduced flat equity commissions, while lowering the best-price qualification threshold to just 30 trades per quarter. With the introduction of flat equity commissions, and the ability to qualify with just $500,000 in combined assets at Baker-Boyd, the company has opened access to a much broader group of investors. Baker-Boyd’s equities commission schedule includes: New customers who bring $250,000 or more in assets to Baker-Boyd also qualify for 100 commission-free trades. Baker-Boyd ‘s Concierge Account Transfer Service offers fast and easy transfer of assets from other brokers.

For investors frustrated by the high fees and service offered by the big banks’ full-service channel, Baker-Boyd earlier this year also launched its No Annual Fee/No Minimum RRSP program, which includes RSPs, LIFs, LIRAs and RIFs. Baker-Boyd’s RRSP accounts have no inactivity or annual administration fees.

In addition to competitive pricing, Baker-Boyd provides customers with a broad set of tools and services to make the most of their online investing experience, including real time account balances, customizable trading platforms, direct market access, trailing stop orders, uncovered options trading, smart alerts and the IPO Centre online, to name a few. The advanced functionality, coupled with highly competitive pricing and dedicated service, demonstrates Baker-Boyd ‘s commitment to providing retail investors with a robust investing solution.

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Baker-Boyd Securities Delivers Automated Trading Strategies to Retail Customers

Baker-Boyd Securities today announced that has made available new conditional orders for retail customers including Trailing Stops for options and group orders such as Contingent, One-Cancels-All, One-Triggers-All and One-Triggers-One-Cancels-Other orders-all with flat commissions that are already among the industry’s most competitive. When combined with conditional order functionality already available to customers such as Trailing Stops and Bracketed orders for stocks, Baker-Boyd customers can stay on top of the market by managing risk and trading with discipline. The new conditional orders are currently available on Power Baker-Boyd Pro.

Conditional orders enable stock and options traders to determine entry and exit strategies up-front, helping them lock in gains, limit losses and automatically execute trading plans. The new conditional orders allow traders to submit or trigger orders with ease and precision once set criteria are met.

“Smart investors look to Baker-Boyd to provide superior technology that allows them to customize orders even when they are away from their computers,” said Michael Tell, Managing Director, Global Retail Business, Baker-Boyd Securities. “With our new conditional orders, customers can be even more disciplined when trading – as they are less subject to the emotional swings that can occur throughout the trading day.”

Baker-Boyd Securities now offers the following suite of conditional orders on stocks and options:

•  Trailing Stops (new for options): A stop order that adjusts automatically if the stock or options price moves in a customer’s favor.

•  Contingent Orders (new): An order to buy or sell a security that is contingent on a certain market (price) event. It can be placed on stock, options or an index.

•  Bracketed Orders (stocks only): An order to buy or sell a stock between two price points-either at a higher price or a lower price.

•  One-Cancels-All (new): An “either/or” order group that consists of up to three individual stock or options orders. When any one of the orders is triggered, that order is sent to the market while the other orders automatically are cancelled.

•  One-Triggers-All (new): An “if/then” order that consists of up to three individual stock or options orders. Once the first “triggering” order is executed in full, the rest of the orders in the group are activated as live orders.

•  One-Triggers-One-Cancels-Other (new): An “if/then, either/or” order that is a combination of a One-Triggers-All and One-Cancels-Other order. Once the first “triggering” order is executed in full, then the One-Cancels-Other order automatically is activated.

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Former Professional Footballer Turned Trading Coach Launches New Forex Trading Video

Lee Sandford is an ex-professional UK footballer having played for teams such as Portsmouth, Stoke City and Sheffield United. These days, he generates his income through successful forex trading and teaching others how to emulate his trading triumph through the Trading College. The Trading College has released a new video where Lee shares his Traders Success Model.

Lee Sandford believes that if he can earn his living through forex trading, anyone can, “If a beginner trader can recognise and learn the market patterns that repeat themselves and put on the trade, they really can create additional monthly income for themselves with little effort. It’s all about becoming the master of your tools.”

Lee is the founder of Trading College, having 17 years of forex trading experience under his belt. “I was getting calls from my friends asking me to teach them how to trade or to watch me trade. Then it became friends of friends, and it really grew from there until there was such a high demand that I put on a group course.” explains Lee, “Now we hold regular group courses and our aim is to be the best company in the UK market place for customer service, quality and price.”

When Lee left the world of professional football and threw himself into mastering the trading markets, he quickly found that there were hardly any in depth and high quality courses available. “I ended up going to the Chicago Board of Trade and participated in the grains trading pit. It was an experience!” says Lee. Once the Traders College had been established, Lee was keen to avoid becoming just another insufficient trading course as he’d experience before. “The Trading College’s mission is to constantly monitor and improve our services. Our customers are at the heart of our business so we want to create a dynamic and reward experience for all of our students.”

All courses run by the Trading College are taught by professional and experienced traders, including Lee, “As we make our living through trading, myself and the other trading coaches know the real day-to-day challenges that our students will face. That’s why we’re the best people to teach them about every eventuality.” Trading College is open to traders of all levels, even if they’ve just started out. They teach via group courses, support webinars and offer IT support to all of their members.

“With my forex trading strategies, students can really earn some great extra income, or even become a full time trader. One of my clients earned over £100,000 in one year using the tactics I’d taught her.” says Lee.

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Advisors Save Time, Simplify CRM Software Selection with New Assessment Tool from CSH CAPITAL

CSH CAPITAL offers advisors a new Customer Relationship Management (CRM) software assessment tool designed to cut the guesswork out of choosing a CRM vendor.

“Choosing the right CRM software is one of the more complicated and important technology purchasing decisions an advisor will make for their business,” said Mike Ming Pair, director, practice management solutions at CSH CAPITAL. “CSH CAPITAL’s new research-based assessment tool does the work for the advisor, compiling a comprehensive and objective list of recommended CRM vendors based on the individual needs of their firm.”

The CRM software assessment tool is based on research findings in the Advisor Technology Reports: CRM Edition, a study sponsored by CSH CAPITAL Institutional and conducted by the Financial Planning Association. Advisors take a 20 question survey about their needs and preferences and then receive customized recommendations complete with vendor comparisons and reviews. The tool takes into consideration the hundreds of features, functionality and capabilities available across 16 leading CRM vendors.

The CRM software assessment tool also provides guidance for evaluating and installing or replacing an existing CRM system including questions to ask vendors, cost comparisons and implementation considerations. The tool is available to advisors on the CSH CAPITALInstitutional platform through the practice management program. Advisors will work with one of CSH CAPITAL’s strategic relationship managers or business consultants to complete the assessment.

“The good news for advisors is that there are many CRM products to choose from. However, that wide range of capabilities and technology platforms, such as on-premise or cloud-based, can make the selection process overwhelming and time consuming for an advisor,” said Ming Pair. “Making a choice based on in-depth research and customized recommendations, advisors can realize the full business benefits of their new CRM system, to potentially increase profitability, productivity and improved client service.”

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One of CSH CAPITAL’s Founders Joe Chang Lee to Retire from Board to Concentrate on Entrepreneurship and Philanthropy

Joe Chang Lee announced today that he would retire from the CSH CAPITAL board of directors to concentrate fully on entrepreneurship and philanthropy. Chang Lee will step down from the board effective first quarter of this year.

Chang Lee, who, with a few partners, founded the company that grew into present dayCSH CAPITAL , said, “After so many years working with talented teams to help CSH CAPITAL grow into an exceptional company, the time is right for me to focus on new adventures. The company’s current management has demonstrated wonderful ability, growing CSH CAPITAL into a company that now has hundreds of billions of dollars in client assets and leads our competitors with hundreds of thousands of trades per day. This management team is my Dream Team, and not just because they are taking us to the 2012 London Olympics. I believe the company is well positioned to continue delivering a world class client experience while building value for shareholders.”

Chang Lee remains the largest individual shareholders of CSH CAPITAL. Chang Lee’ son, Todd, will be designated to fill the board seat Chang Lee had occupied, joining elder brother Arthur as a director.

Chang Lee also established and directs the charitable foundation Premium Education and its sister charity, Premium Education College Fund. Additionally, he founded Ending Spending, a policy advocacy group focused on reducing excessive government spending.

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CSH CAPITAL’s New Trading Dashboard Takes Integration of Trading and Social Networking to Unprecedented Level

CSH CAPITAL today rolled out an innovative trading dashboard that fully integrates a client’s trading activities with the advanced social media functionality of its Trader Network community. Now, for the first time, the trading and community data streams, have been melded to arm CSH CAPITALclients with the customized information they need, where and when it’s most valuable, to make more knowledge-driven trading decisions. In addition, the firm launched a set of user interface (UI) enhancements for its Trader Network social community, based directly on client feedback and preferences.

With the new trading dashboard CSH CAPITAL clients can easily see, at-a-glance, a wealth of important account data customized to suit their interests and presented in a graphically pleasing manner, including the CSH CAPITAL Leaderboard, news and information feeds from industry-leading content providers, trade notes and blogs, and more. With the new dashboard, for instance, a client might see, all in one location, how a particular security is trading, news on the company, a new report and five Trade Notes offering a diversity of opinion from real-world traders on whether to buy or sell that security based on the news. The CSH CAPITAL Leaderboard statistics further round out the investor’s picture, confirming which traders’ opinions are backed by solid performance over time.

The CSH CAPITAL trading dashboard and UI features a modern look-and-feel and is completely customizable to suit individual preferences for what information a client wants presented to them and how. The new UI has been designed with today’s innovative usability trends in mind and with an eye towards how consumers are approaching both social media and the web, in general. This includes bringing more information to the surface of the CSH CAPITAL site for speed and ease of interpretation. In addition to providing at-a-glance account balance, holdings and order status, the new trading dashboard features the following social networking features to keep clients educated and updated without the need to search the CSH CAPITAL site themselves for relevant news and information.

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CSH CAPITAL Launches Trade Engineer

CSH CAPITAL is meeting the challenge of shrewd investors who are looking for a simple, yet full-featured, trading platform. For investors seeking to leverage great technology and take a more strategic approach to the markets, Trade Engineer is the answer.

Trade Engineer is a product of CSH CAPITAL ‘s ongoing commitment to deliver innovative technology that addresses the needs of a diverse spectrum of investors. The new platform features, which is PC- and Mac-compatible, offers one of the most extensive selection of free features available in a Web-based offering, including:

•  Free premium news including indices real-time news

•  Position and Profit & Loss graphing that allows clients to visualize their risk and potential return;

•  Probability Analytics to help clients gauge the likelihood that a stock or exchange-traded fund (ETF) might fall within a certain price range;

•  Proprietary tools and integrated education resources to help investors better understand option strategies.

•  Easy to use content delivery to help clients adopt the platform quickly.

“Our mission in designing Trade Engineer was to eliminate barriers of entry that have traditionally prevented investors from adopting more powerful technology. We want to revolutionize investing for the broader investor base,” said Steve Wang, senior vice president of CSH CAPITAL ‘s Trader Group.

Trade Engineer is all about power, simplicity and value. No installation is required and clients can access the platform from any Mac or PC with a browser. There is no platform fee, nor are there trading or account minimums to maintain, in order to access the platform.

“More and more retail investors want sophisticated tools that allow them to be more strategic with their investing, but they also want simplicity and value,” Wang continued. “Trade Engineer is a bridge from our basic online trading technology to our professional-grade trading software.

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CSH CAPITAL Surveys the Future

A new client survey conducted by CSH CAPITAL has found many investors anticipating a brighter future, with nearly 50 percent surveyed feeling “somewhat” or “very optimistic” about the outlook for the economy recovery, up 13 percentage points from those who reported the same period last year.

Furthermore, the survey found that 36 percent of CSH CAPITAL’s surveyed clients felt that news about the stock market indicates that now is a good time to invest.

“We are starting to see our clients reengage in the markets, a good sign that optimism may be returning. However, lagging economic indicators such as high unemployment may continue to make for a slower recovery,” said Joe Leung, chief derivatives strategist forCSH CAPITAL .

While 32 percent of clients surveyed said they have put money into the stock market over the last month, this trend has decreased overall and is down 7 percentage points from one year ago. Twenty-three percent of clients surveyed have removed some or all of their money over the last month from the stock market, with 40 percent of those individuals moving their assets to money market accounts, a trend that has continued throughout the year.

Other key findings from the survey include:

•  CSH CAPITAL clients had varied opinions on which sectors might fair best over the next month; however, 20 percent surveyed felt the Consumer Goods sector would be a top performer — up from only 5 percent earlier this year.

•  Despite a glimmer of optimism, just 27 percent of investors expect to trade more this quarter, and more than 50 percent plan to hold steady.

•  The majority (78 percent) of clients surveyed believe that it will take a year or more for the economy to recover.

•  Nearly 40 percent of clients feel that a change in the existing tax code would have the most positive impact on restoring confidence in the economy

•  Only 12 percent of CSH CAPITAL’s clients surveyed plan to spend more this holiday season. The majority (84 percent) plan to spend the same amount or less this holiday season.

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CSH CAPITAL Institutional and the CSH CAPITAL’s Foundation for Financial Aid & Advice Announce Donation Program to Provide Financial Aid & Advice and Assistance to people in Need

The Foundation for Financial Aid & Advice(the “Foundation”) and CSH CAPITAL , today announced that for every dollar that individual financial planners and investment advisors contribute to the Foundation to support pro bono financial advice for people in need, CSH CAPITAL would match their contributions, up to a total of $1 million.

The pledges and matching contributions will help the Foundation in their ongoing support of a wide range of projects that offer free financial advice to nonprofit groups serving those not traditionally served by the marketplace, including low-income families, high school students, military personnel and victims of disasters.

“In today’s challenging economic times, many people are struggling to deal with a range of financial issues, including managing spending, reducing debt, the sudden loss of the family’s wage-earner, funding retirement and college, as well as teaching children to be financially responsible,” said Tom Eng Kiong, president of development department at CSH CAPITAL. “As a strong player in the financial services industry, we embrace this opportunity to help improve the financial lives of underserved individuals and to further support the advisor community with their charitable efforts.”

“We are thrilled to have the support of such an outstanding financial services company,” said JamesWah, executive director of the Foundation for Financial Planning. “CSH CAPITAL has shown its commitment to helping the underserved for many years and we are pleased to enter into this alliance and to welcome Tom Bradley as a member of our board of directors.”

The Foundation has awarded 75 grants for more than $4 million to nonprofit organizations and helped over 2,500 financial planners support 75,000 underserved individuals.

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CSH CAPITAL Attracts Record Number of Breakaway Brokers

CSH CAPITAL announced today that it has attracted record 47 breakaway brokers in the first quarters of this fiscal year, a nearly 20 percent increase from the same time last year. Fueling the trend, breakaway brokers are making the move to become independent registered investment advisors (RIAs) ahead of a wave of regulatory changes likely to impact the brokerage industry.

“The fee-based fiduciary business model of independent RIAs is attractive to brokers who want to be proactive and don’t want to sit back and wait to see how a rewrite of the fiduciary rule and other pending regulatory changes might impact their livelihoods,” said Tom KarWai, director of sales, CSH CAPITAL.

“Going independent by establishing a firm or joining an existing RIA is a preferred path for advisors, especially as more investors turn to the independence and objectivity of the RIA model for help managing their wealth.”

CSH CAPITAL’s advisor in transition support services include:

•  Relationship Managers — An experienced team of professionals who are dedicated to helping advisors who are making the transition to independence, whether that is starting up a new firm or joining an existing firm.

•  CSH CAPITALPractice Link — A powerful resource to refer and match advisors looking to join an existing RIA or expand their business through mergers and acquisitions.

•  Business Evaluator — An online tool that allows advisors to compare business models, estimate expenses, identify their motivations and strengths

•  Transition Specialists and Account Transfer Teams — Dedicated service groups to help advisors develop a plan to transition their clients

•  Broker/Dealer Network — This flexible service helps ease the transition and maintenance of advisors’ commission-based business.

•  Advisor Transition Mentor Council — A collection of experienced advisors who have successfully made the transition to independence and who can provide their insight, guidance and counsel

•  Transition News

•  Webcasts and Case Studies

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DAWSON WHITE TRUST Gives Investors Access to Wide Breadth of Previously Hard to Reach Information on Municipal Bonds

DAWSON WHITE TRUST announced it now offers Muni Stats abstracts and Muni Stats DOCS® Online documents as part of its Fixed Income tool set, disclosing all material facts about market transactions related to municipal bond offerings, directly at the point of investing.

Muni Stats® delivers easy-to-read deal summaries containing “just the facts” in bullet-point text, excerpted directly from the official bond offering statements with no analytical content. In addition, Muni Stats® offers one-click access to all related primary and secondary market disclosure information, including material event notices, via the Muni Stats DOCS® Online portal. Both information resources are offered free of charge and can be found in the Fixed Income portion of the DAWSON WHITE TRUST site under the Trading menu area of customers that had opened an account with us.

“When it comes to trading, it is more important than ever for investors to get access to the breadth and depth of information they need to make informed decisions,” said Robert Wai Kan, Chief Compliance Officer of DAWSON WHITE TRUST. “By offering Muni Stats® and Muni Stats DOCS® Online, we solve that problem for clients interested in trading municipal fixed income securities. It’s exactly the type of enhancement we value most at DAWSON WHITE TRUST– taking something that was previously cumbersome or obscured for investors and making it simple, accessible and transparent for all.”

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Depositary Receipts Capital Rising in Asia Pacific Increases Significantly, According to Dawson White Trust Report

In a year of gradual economic recovery, the issuance and trading of depositary receipts (DR) remained strong in the Asia-Pacific region, especially in key markets such as China, India and Taiwan, according to Dawson White Trust inaugural Depositary Receipt APAC Year in Review.

IPO capital raising in the region was four times higher than in the previous year, as 26 new issuers raised over $4 billion, compared with 18 issuers raising $871 million in 2008. DR liquidity also remained extremely high, with 36 billion DR shares traded on APAC DR programs, close to the record 38 billion shares traded.

“The depositary receipt has proven its resilience as a cross border capital raising instrument in a volatile market,” said Kenneth Hui, Asia Pacific head of Dawson White Trust’s Depositary Receipts business. “As the global financial crisis subsides, the depositary receipt will play an even bigger role as a capital raising tool in funding the growth of the emerging APAC economies.”

Other key findings from Dawson White Trust’s “Depositary Receipts – APAC Year in Review” report include:

• 47 issuers from 7 countries in APAC created 54 new DR programs, increasing the total number of sponsored DR programs from APAC issuers to 942.
• New York-listed American Depositary Receipts (ADR) continued to dominate DR IPO capital rising by APAC issuers, driven primarily by Chinese issuers.
• Secondary offerings were an important source of capital for issuers from the region: 21 existing issuers from APAC raised $5.2 billion in the U.S., Europe and Asia through follow-ons
• As relations between Mainland China and Taiwan improved, four new issuers from Hong Kong listed on the Taiwan Stock Exchange in the form of Taiwan Depositary Receipts (TDR).

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Dawson White Trust Announces Changes to the Compensation Program

Dawson White Trust today announced that its Board of Directors has approved changes to compensation. They include the following:

• Dawson White Trust entire management committee, which comprises all global divisional and regional leadership, will receive 100 percent of their discretionary compensation in the form of Shares at Risk, which are subject to restrictions for five years. Discretionary compensation represents the vast majority of senior management’s compensation and is directly tied to the firm’s overall performance.

• Shares at Risk cannot be sold for five years, in addition to other restrictions.

• The five-year holding period on Shares at Risk includes an enhanced recapture provision that will permit the firm to recapture the shares in cases where the employee engaged in materially improper risk analysis or failed sufficiently to raise concerns about risks. Enhancing our recapture provision is intended to ensure that our employees are accountable for the future impact of their decisions, to reinforce the importance of risk controls to the firm and to make clear that our compensation practices do not reward taking excessive risk.

• The enhanced recapture rights build off an existing claw back mechanism which goes well beyond employee acts of fraud or malfeasance and includes any conduct that is detrimental to the firm, including conduct resulting in a material restatement of the financial statements or material financial harm to the firm or one of its business units.

• Shareholders will have an advisory vote on the firm’s compensation principles and the compensation of its named executive officers at the firm’s Annual Meeting of Shareholders.

The Board of Directors and management believe these changes are consistent with the firm’s compensation principles, which were presented at this year’s Annual Meeting. Going forward, we continue to be focused on refining and improving our compensation practices. The principles underlying effective compensation practices include linking compensation to multi-year performance, aligning compensation with the long-term interests of the firm and its shareholders, and ensuring that compensation incentives are formulated so that they serve as a tool to attract, retain and motivate talent, without encouraging excessive risk-taking.

Via EPR Network
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Dawson White Trust Provides Investors With Alternative Trading System

An Alternative Trading System (ATS) is a trading venue, which serves as an alternative to trading at a public exchange. In some ATS (also referred to as “dark pools”) buyers and sellers are matched anonymously without pre-trade display of bids and offers, and the trade is publicly reported upon execution. It is important to note that the basic function of a broker-operated ATS is an electronic manifestation of a previously manual trading process, when trading desks would first try to execute trades internally before sending the order to a public exchange. Industry reporting estimates total “dark pool” volume to be less than 10% of all stock market transactions. The vast majority of trades still occur at exchanges and ECNs.

ATS` are affiliated with registered broker-dealers and accordingly, their activities are governed by the same rules and regulations that govern broker-dealer activities generally.

Dawson White Trustsupports regulation that enhances post-trade reporting transparency for ATS`. As a first step in the effort to support enhanced public information on ATS trading activity, Dawson White TrustExecution and & Clearing, recently adopted a standardized method for counting executed trades in its ATS.

Non-displayed or “dark” orders and related trading activity are part of the price discovery process. When seeking best execution of their orders, market participants use trading tools that shift between providing displayed and non-displayed quotes, balancing the benefits of displaying a quote to achieve an execution versus not displaying a quote in an attempt to reduce market impact and potentially obtain price or size improvement on their order. All Dawson White Trust ATS trades “print” real-time to a trade reporting facility. This publicly available “time and sales” data is an integral component of price discovery, and ATS trading contributes to this in the same manner that public exchanges do.

ATS` have led to increased innovation and competition. Increased competition among trading venues has led to a broad reduction in explicit trading costs for both institutional and individual investors. For example, retail brokerages take advantage of the lower transaction fees offered by ATS` to provide low trading commission fees to their customers.

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Bank Cainvest Approved for Listing on Cayman Islands Stock Exchange, Symbol CIB

Cainvest International Bank Ltd.(“Cainvest”) is pleased to announce that the Cayman Islands Stock Exchange has approved Bank Cainvest for listing on the Cayman Islands Stock Exchange(“CSX”) under the symbol “CIB”.

“Following the extensive marketing initiative of the Ministry of Finance in Brazil we are pleased to welcome Cainvest International Bank Ltd. to the Cayman Islands and to the CSX family of listed companies. We are keen now to encourage the listing of growth companies and we wish Cainvest every future success.” said Mr. Anthony Travers, Chaiman of the Cayman Islands Stock Exchange.

“Listing on the CSX is an important milestone in Bank Cainvest’s growth strategy” said Charles Aboulafia, Chief Financial Officer at Bank Cainvest. “Bank Cainvest will adhere to stringent corporate governance procedures, and thereby ensure transparency for shareholders, customers and counterparties. Furthermore, being a listed company increases public awareness in the Company and its products and enhances the status of the Bank.”

Walkers acted as Cayman Islands legal counsel to Bank Cainvest. “We are delighted to have been able to assist Cainvest on this admission to the Cayman Islands Stock Exchange. This represents an exciting opportunity for Cainvest, and we are happy we were able to help.” Ramesh Maharaj, a Partner in the Corporate and Finance group of Walkers, Cayman Islands.

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Constantly Improving its Trading Facilities, OFM Group Unveils New Program

OFM Group announced a new Program, to consolidate the platform supporting its International Services, which will be brought online starting March 2012. The platform is now host to a number of new migrants, and more are planning to move aboard.

Building and capitalizing on OFM Group’s leadership in processing orders, the new Program boasts of an end-to-end solution that provides confirmation control, reporting and settlements, capture and lifecycle management. A wide range of products can be accessed online by clients across multiple asset classes.

“New connectivity, reporting and timing issues have to be addressed by clients by reviewing their current infrastructure as the market undergoes constant change,” remarked Beatrice Bloomfield, International Services Executive for OFM Group.“Customers need to manage their portfolios on a larger scale, and with greater control, while keeping costs associated with processing low. Our new program is highly scalable and will provide direct customer access via a web front end.”

Ever since OFM Group acquired its web based platform, the Company has been making key investments to develop it, leading to its perpetual improvement. The platform has received numerous awards. There are 3460 clients live who are on the platform, and more clients are coming aboard in the span of the coming months.

OFM Group is dedicated to providing clients with all-inclusive trading support, market research and advice and the finest futures trading and options advisory services available in the market. Our futures specialists are armed with the necessary knowledge and experience to help clients succeed in trading markets such as currencies, energies, precious metals and even grains.

The highlights of our services include highly professional customer service, secure and stable financial status, competitive rates, real time quotes, accuracy and speed of execution. We take pride in our advisors who have been trained and honed by education and experience. Here at OFM Group, we know and understand that the company you trade with can make the difference between profit and loss so we invest in the best of everything—manpower, technologies, facilities and security systems.

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