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Live Events:
Accelerating Wall Street 2010
May 11, 2010
Advanced Trading's Buy-Side Trading Summit 2010
October 17-19, 2010
Accelerating Wall Street 2010
May 11, 2010
Advanced Trading's Buy-Side Trading Summit 2010
October 17-19, 2010
Compliance » Trading Compliance
- Former SEC Lawyer Guilty of Securities Fraud A Dallas lawyer who once worked for the SEC has been convicted of conspiracy and wire and securities fraud.
- The Odds of Exchange Migration
- UAT Launches Trading Oversight System For Investment Industry
- HedgeOp Launches Compliance Platform For RIAs
- The Bank of New York Mellon’s Pershing Unit Establishes Its First Clearing Relationship in Scandinavia
- Euroccp Adds Two New Participants
- Scottrade Ranks Highest in Self-Directed Investor Satisfaction in 2008
- BNP Paribas Offers New Multi-Trading Facilities Services
- Markit Postpones Rolls
Opinions
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Larry Tabb
The Odds of Exchange Migration
Though it may seem like a quick fix, migrating OTC products to exchanges is a process fraught with dangers and problems all its own. - Société Générale-Type Fraud Could Happen Again
Société Générale rogue trader Jerome Kerviel wasn't a tech genius; but poor risk controls allowed him to cover up his fraudulent trades.
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White Papers 
