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This section includes news, articles and blogs about trading compliance, trading regulation and technology that can help financial services firms comply with trading rules. The compliance articles in this section focus on the trading regulations for equities, fixed income, futures options and many other types of derivatives.
Compliance » Trading Compliance
The Odds of Exchange Migration
June 03, 2009Though it may seem like a quick fix, migrating OTC products to exchanges is a process fraught with dangers and problems all its own.UAT Launches Trading Oversight System For Investment Industry
May 27, 2009 Technology provides pre-trade compliance, real-time reporting, and lower brokerage costs for sub-advised platforms, says UAT.HedgeOp Launches Compliance Platform For RIAs
May 19, 2009 New web-based software application helps investment advisers meet adviser act requirements.The Bank of New York Mellon’s Pershing Unit Establishes Its First Clearing Relationship in Scandinavia
February 04, 2009 Agreement with Nordnet Bank AB enables Pershing to continue expanding its global reachEuroccp Adds Two New Participants
November 24, 2008 European Central Counterparty has approved Skandinaviska Enskilda Banken AB and Santander Investment Services S.A as new members.Scottrade Ranks Highest in Self-Directed Investor Satisfaction in 2008
October 29, 2008 Investment firm's top ranking in eight of the last nine studies confirms customer trust remains strong, says CEO Rodger Riney.BNP Paribas Offers New Multi-Trading Facilities Services
October 29, 2008 BNP Paribas Securities Services' expands services to clients on multi-trading facilities.Markit Postpones Rolls
September 29, 2008Prime Brokers Select SWIFT For Trade-Date Matching Platform
Landmark Launches New BankBroker for Streamlined Compliance
Pragma and Weeden Launch Second-Generation Anti-Gaming Logic
Société Générale-Type Fraud Could Happen Again
Société Générale Fraud: A Timeline of Events
World’s Biggest Bank Frauds
Compliance News: Mantas Launches Two New Compliance Solutions
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Larry Tabb Columns
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