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News & Commentary
Content tagged with Compliance posted in November 2014
SEC Examinations: What to Expect When the SEC Is on Its Way
Commentary  |  11/26/2014  | 
Theodore Eichenlaub highlights trends in SEC expectations and how to approach a risk assessment of your compliance program.
SCI: A Whale of a Regulation
Commentary  |  11/24/2014  | 
The SEC's Reg SCI weights in at a whopping 742 pages. Here is what you need to know about the oversized regulation.
Stop Using Spreadsheets for Disclosure Management, Says Linedata
Commentary  |  11/17/2014  | 
The rules for aggregating and calculating disclosures vary tremendously across global jurisdictions, getting well ahead of traditional approaches. Interest in automated solutions rises.
Finra to Focus on Fixed Income ATSs & Algo Providers
News  |  11/12/2014  | 
Finra CEO Richard Ketchum outlines plans for requiring brokers that use fixed-income "RFQ systems" to provide more pre-trade price transparency to customers. In equities, Finra wants to register firms involved in designing algorithms.
SEC Chairman Discusses Rule Changes on HFT
News  |  11/11/2014  | 
SEC Chair Mary Jo White discussed HFT and the agency's plans for equity market structure in 2015 in a video interview with Bloomberg Market Makers at the SIFMA annual meeting.
Technology & Compliance Biggest Setback in Social Strategy
Commentary  |  11/10/2014  | 
Wells Fargo says better social aggregation and search technology will help financial firms put their people back into the social realm.


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