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News & Commentary
Content tagged with Compliance posted in January 2014
Adding Context to Social Archives is No Picnic
News  |  1/30/2014  | 
Social information is racking up eDiscovery costs, and surprisingly easy to manipulate.
Capital Markets in Transition, Regulators on Watch
News  |  1/30/2014  | 
The promise of returns and threat of catastrophic failure is pushing trading firms to the edge.
Volcker Rule Reporting: A Review
Commentary  |  1/28/2014  | 
Some of the more obscure types of reporting required in the Volcker Rule will make implementation difficult.
Global Funds Adopt Standard Compliance Technology to Lure Investors
News  |  1/27/2014  | 
Globalization of regulatory burdens are raising the bar on risk, compliance and supervision technology.
What’s Next in Disruptive Technology and Innovation in Financial Services – Download from Davos
Commentary  |  1/24/2014  | 
One topic debated at last week's World Economic Forum is whether the current model of capital markets, buy- and sell-side, can survive in a world where technology no longer presents the barrier it once did, writes Daniel Craig of Thomson Reuters.
TeraExchange Offers SEF Trading Agreement to Multiple IDBs
News  |  1/23/2014  | 
European IDBs with bank customers will utilize TeraExchange's SEF platform to comply with Dodd-Frank's U.S. person's trading rule.
This is Why AIFMD Annex IV Reports Demand More Attention
News  |  1/23/2014  | 
The initial VOP filing deadline has just passed, but it was a breeze compared to the reporting challenges ahead.
The OFR Annual Report: Helpful Advice in Managing Data Standards
Commentary  |  1/22/2014  | 
The OFR is making progress with LEIs and is providing guidelines for how it manages different data standards.
Social Media's Value Battles Ambiguity In Financial Services
News  |  1/17/2014  | 
It remains difficult to quantify the effects of social media, but that hasn’t stopped the continued dedication of funds to staff and equip social initiatives.
CFTC Certifies Javelin's MAT; Clock Ticks on Mandatory SEF Trading
News  |  1/17/2014  | 
Javelin Capital Markets received a regulatory nod from the CFTC to offer an array of interest-rates swaps on its SEF platform, but uncertainty remains for multi-leg trades.
5 High-Risk Security Blunders of Senior Managers
Slideshows  |  1/10/2014  | 
In a recent survey, many senior leaders admitted to frequently engaging in high-risk behavior.
The OFR Annual Report: Connectivity, Contagion and Risk
News  |  1/9/2014  | 
The OFR's report addresses contagion in financial networks, which involves the interconnectedness of the financial system, coupled with the effects of leverage.
The Shadow-Accounting Outsource Evolution
News  |  1/9/2014  | 
Over the past decade increased complexity and transparency demands have shifted hedge funds toward outsourced shadow-accounting.
BlackRock Agrees to End Analyst Survey Program Worldwide After Investigation
News  |  1/9/2014  | 
New York Attorney General Eric Schneiderman secured an agreement with BlackRock to terminate a survey program that gave the world's largest money manager early access to Wall Street sentiment.
Reg SCI To The Rescue?
News  |  1/8/2014  | 
The SEC's proposed Regulation SCI includes mandatory requirements to boost resiliency and compliance standards in automated trading systems, but market participants have their doubts and are requesting changes.
The OFR Annual Report: RAGs to Riches
Commentary  |  1/3/2014  | 
The OFR's annual report on the state of the financial system is an interesting read that contains a variety of financial information and metrics about the industry.
Leveraged ETFs Create Demand for Tax Analysis Software
News  |  1/3/2014  | 
The popularity of "leveraged ETFs" in mutual funds is causing fund administrators to look for software that can automate the tax analysis rather than rely on public audit firms.
FINRA Will Focus on Supervision of High Risk Brokers in 2014
News  |  1/2/2014  | 
Wall Street's regulator issued its list of examination priorities for 2014, citing firms hiring high risk brokers, suitability, cybersecurity and testing of algorithmic trading systems.

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