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News & Commentary
Content tagged with Compliance posted in September 2013
NYSE Euronext Ups the Stakes on US Cash Equity Markets Monitoring
News  |  9/30/2013  | 
The exchange operator is now live with ITRS Geneos, setting up a real-time dashboard to see across its matching engines and core customer connections.
Brokers Update Basis Reporting Tools for IRS Compliance
News  |  9/27/2013  | 
Brokerages are tasked with cost-basis tax analysis, promoting investment in tools and handling the heavy load of complex calculations.
Bloomberg Vault Plays Role in Social Media Compliance
News  |  9/26/2013  | 
Financial service firms are rolling out social media strategies for archiving and surveillance with Bloomberg Vault.
CFTC Puts SEF Approvals on the Fast Track
News  |  9/23/2013  | 
Last week, the CFTC granted "cursory" approvals to several firms setting up swap execution facilities in compliance with the Oct. 2 deadline.
Steel City Success Story
News  |  9/23/2013  | 
BNY Mellon's Michael Keslar has turned down opportunities in other locations in order to remain in his hometown. And it has paid off.
Successful CIOs Embrace Flexibility
Commentary  |  9/23/2013  | 
Regulatory changes are actually helping CIOs force legacy IT environments to move to newer platforms and technologies.
It Won't Work: Central Counterparty Clearing for OTC Derivatives
News  |  9/20/2013  | 
CCP for OTC derivatives is misguided, ill-executed and damaging, says panelist at Sibos conference.
DST Global Solutions Hires Bob Leaper to Expand New Biz in North America
News  |  9/19/2013  | 
The tech provider also released Version 3.0 of Anova, its post-trade investment data management product for asset managers and wealth management.
ACTIV New Hire Ben Collins Discusses Market Data Challenges
News  |  9/17/2013  | 
ACTIV Financial's Ben Collins discusses the challenges and changing landscape of market data and the underlying delivery technology.
Are "Kill Switches" the Answer for Exchanges?
News  |  9/16/2013  | 
An expert says exchanges must focus on policies and procedures and make sure their systems failover to a previous version, rather than stop trading.
HSBC and Morgan Stanley Scope Out Client Onboarding Product
News  |  9/16/2013  | 
HSBC and Morgan Stanley are working with Genpact and Markit to design a client onboarding product that provides banks with data for the 'know your customer' (KYC) rule.
Is The NSA Hacking SWIFT?
News  |  9/16/2013  | 
SWIFT says it has no evidence its systems were breached, but documents show SWIFT and Visa are targets of the NSA, according to media reports.
Exchange CEOs Heading to SEC Meeting over Nasdaq Outage, SIPs
News  |  9/11/2013  | 
After the Nasdaq outage, SEC officials should find out if the securities information processors are up to handling a new and complex role with the market-wide Limit Up-Limit Down mechanism.
Sapient Global Turns to Cloud
News  |  9/6/2013  | 
Sapient Global Markets makes their compliance management and reporting systems available on a cloud-hosted version.
SAP Names Global Head Of Financial Services
News  |  9/5/2013  | 
SAP has appointed a new global head of financial services industries that will focus on the banking, insurance and capital markets industries.
How Capitalism and Technology Can Fix the Equity Market
Commentary  |  9/5/2013  | 
What would happen if the SEC took away the consolidated tape requirement ushered in by Regulation NMS? Nothing bad.
Interest Rate Swaps: Electronic Trading and the New Regulatory Reality
Commentary  |  9/4/2013  | 
Alternative swaps market structures that are appropriate for the new regulatory landscape — including the use of prime banks offering sponsored electronic access — are now being examined.
NASDAQ Did the Right Thing by Halting Its Markets Last Week
Commentary  |  9/4/2013  | 
Despite questions about the reliability of using computer technology in trading in the wake of the Nasdaq incident, markets need more technology — not less —to prevent future glitches.
How To Restore Sanity in U.S. Financial Markets
Commentary  |  9/4/2013  | 
There are many issues to ponder, including regulation, responsibility, taxation, transparency and more when looking at the financial markets.
ICAP Files SEF Application with CFTC As Oct. 2 Deadline Nears
News  |  9/3/2013  | 
The market operator said ICAP SEF will operate across multiple asset classes and offer trading through fully electronic or hybrid voice/electronic platforms.

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