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News & Commentary
Content tagged with Compliance posted in October 2010
SAP Admits Infringement In Oracle Case
Commentary  |  10/29/2010  | 
An attorney for SAP on Thursday wrote to U.S. District Court Judge Phyllis J. Hamilton pointing to media coverage of recent developments in the case as the reason for the shift in its strategy.
SEC Considers Rule to Ban “Naked” Access to Exchanges, ATSs
News  |  10/28/2010  | 
The U.S. Securities and Exchange Commission said that on Nov. 3 it will consider a new rule that would ban broker-dealers from providing “naked” access to any exchange or alternative trading system.
The Ultimate Risk—Flawed Liquidity Risk Management
News  |  10/27/2010  | 
As the global financial services industry heads into 2011 after digesting Dodd-Frank, Basel III and the “flash crash,” the question is “Where to now?”
SEC Appoints New CIO Amid Overhaul of Technology Systems
News  |  10/25/2010  | 
The U.S. Securities and Exchange Commission announced it named Thomas Bayer as chief information officer, a role in which he will oversee the regulator’s applications development, maintenance, and infrastructure.
FINRA Appoints New Head of Enforcement
News  |  10/22/2010  | 
The Financial Industry Regulatory Authority announced it appointed J. Bradley Bennett, a partner at the Washington law firm Baker Botts, as the head of the regulator’s enforcement division.
Goldman Sachs' Prop Trading Desk Headed to KKR – Report
Commentary  |  10/21/2010  | 
Goldman Sachs' proprietary trading desk is reportedly migrating to Kohlberg Kravis Roberts & Co. as the legendary leveraged buyout firm looks to capitalize on the finance reform bill's restrictions on proprietary trading at banks. restrictions on proprietary trading at banks.
Industry Faces Heavy Regulation, Says AT Summit Keynote
News  |  10/18/2010  | 
Brokers and hedge funds are bracing for a plethora of new regulations, including the new short selling rule, hedge fund registration and tougher FINRA examinations.
FIA is Working On Ownership and Control Reporting System
News  |  10/11/2010  | 
FIA is proposing its own system as a "practical and cost-effective alternative" to OCR system proposed by the CFTC.
Banks Back from the Brink: Could New Financial Regs Derail the Banking Industry?
News  |  10/8/2010  | 
Most banks are doing well, but uncertainty surrounding the Dodd-Frank banking regulations may hinder future growth.
Dodd-Frank Whistleblower Provision Sparks Concerns Over Costs and False Claims
News  |  10/6/2010  | 
The number of whistleblower complaints levied against financial firms could see a sharp rise thanks to provisions tucked in the Dodd-Frank bill, former U.S. Securities and Exchange Commission officials say.
SEC-CFTC Flash Crash Report Leaves Experts Unsatisfied
Commentary  |  10/5/2010  | 
Many of us have read the long awaited joint SEC-CFTC report on the May 6th Flash Crash. By now everyone knows, that the regulators largely blame the sudden “Flash Crash” on a huge sale of E-mini futures contracts by a single fundamental investor, not named in the report, but which sources have identified as Waddell & Reed Financial, a conservative mutual fund company.
The SECs Mission: Proving Its A Fair Game
News  |  10/4/2010  | 
wo former SEC Chairmen, Harvey Pitt, Kalorama Partners, and Richard Breeden, Breeden & Co., discussed the future of the SEC, with Maria Bartiromo, of CNBC, covering what the agency has done to restore investor confidence and why circuit breakers, the main course of action, have been problematic.
SEC To Look At Banks' "Window Dressing"
News  |  10/4/2010  | 
The SEC is to tackle a loophole in bank regulations that came to light during the financial crisis. The loophole allows a practice known as "window dressing," reports John Dimsdale in this MarketPlace report.
Hubris Never Sleeps – A Review of Wall Street 2
Commentary  |  10/4/2010  | 
If you were excited by the return of Gordon Gekko and expected Oliver Stone to unleash moral outrage on the big banks, think again: The movie amounted to a huge, missed opportunity, writes StatPro North America CEO Mark Bramley.
The Story of Canada Bill Jones: A Hustler Relevant to Today's Global Market Feeds
Commentary  |  10/1/2010  | 
Just as unsuspecting rubes were duped by a legendary Canadian card shark, Doug Clark of BMO Capital Markets contends Chi-X is still displaying internal order numbers on the public feed after it changed the practice.

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