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News & Commentary
Content tagged with Compliance posted in April 2011
Survival Of The Fastest in Tomorrow's Electronic Trading Markets
Commentary  |  4/29/2011  | 
The SEC's new Market Access Rule "15c3-5" will require big investments in new ultra-low-latency technology, but only those who get it right will be on the winning side of the street, contends Tibco's Rourke McNamara, Sr.
Don't Mess With Warren Buffett!
Commentary  |  4/28/2011  | 
Berkshire Hathaway releases an audit report accusing David Sokol of misleading Buffett about his personal trades.
GoodFellas II: The Feds Are Watching Traders At Home
Commentary  |  4/28/2011  | 
The FBI told a hedge fund trader they "had recorded his conversations for a very long time, that they knew 'everything' about him and his family and friends," sparking a debate about the rights and wrongs of wiretapping.
Q&A With Rep. Barney Frank
News  |  4/26/2011  | 
Congressional Republicans are playing a dangerous political game with their bid to delay new derivatives rules until 2012, according to Rep. Barney Frank.
Hedge Fund Managers Sour on Obama Heading into 2012
Commentary  |  4/26/2011  | 
It appears U.S. hedge fund managers are doing their best to swing the White House and Senate back to the Republicans in 2012.
Rajaratnam Gets His Money's Worth With Solid Defense
Commentary  |  4/25/2011  | 
Considering the mountain of evidence suggesting Raj Rajaratnam’s guilt in the Galleon Group insider trading case, most prognosticators expect a conviction, and with it a harsh prison sentence.
Bernanke Is Set To Boldly Go Where No (Fed) Man Has Gone Before
News  |  4/25/2011  | 
The Federal Reserve chief is expected to hold a news conference this week and answer questions from journalists, signaling a startling break from tradition for the central bank.
Pinpointing Prohibited Prop Trading
News  |  4/20/2011  | 
10 Things Hedge Funds Must Address
News  |  4/19/2011  | 
Nasdaq OMX-ICE Deal Has Merits
Commentary  |  4/18/2011  | 
The Nasdaq combination wtih NYSE would create the largest U.S. equity trading venue, reduce technology costs for traders and diversify ICE's derivatives business.
SEFs Will Improve Global Swaps Market: Survey
News  |  4/18/2011  | 
A wide range of market participants believe swap execution facilities will improve the derivatives trading market, according to research conducted by Tabb Group.
Dodd-Frank and Trading Tech
News  |  4/18/2011  | 
Restarting the Engines of Growth
News  |  4/15/2011  | 
The process of becoming a public company is broken. The SEC needs to reform the rules to revive the stalled IPO market and spur growth.
SEC Mulls Hedge Fund Sign-Up Extension
News  |  4/14/2011  | 
Should Insider Trading Become Legal?
Commentary  |  4/13/2011  | 
From the trial of Raj Rajaratnam, to the largest insider trading scandal in New Jersey history, the government has been cracking down hard on criminal activity on Wall Street.
GOP Averts Damaging Argument in 2012 with Budget Deal
Commentary  |  4/12/2011  | 
The nation's securities and commodities regulators are breathing easier following the last-ditch efforts of Congress to avoid a government shutdown.
Feeling the Crunch of New Regs
News  |  4/12/2011  | 
AcadiaSoft Launches Collateral Managment Portal
News  |  4/12/2011  | 
Major firms are piloting the new Web-based service for managing collateral between counterparties in OTC derivatives.
Madoff's Latest Zingers
Commentary  |  4/11/2011  | 
Madoff delivers some unbelievably nonchalant comments in this FT interview.
Mariner Rolls Out G2 Tax Kit
News  |  4/11/2011  | 
SEC Charges Brokerage Execs for Failing to Protect Customer Data
News  |  4/8/2011  | 
The Securities and Exchange Commission announced it charged three former brokerage executives with violating customer privacy rules after they allegedly transferred customer records to another firm without their knowledge.
SEC Charges Trader, Attorney In $32 Million Insider Trading Scheme
News  |  4/7/2011  | 
The U.S. Securities and Exchange Commission announced it charged a corporate attorney and Wall Street trader with operating a $32 million insider trading ring, illegally profiting ahead of at least 11 merger deals.
Credit Markets to Enjoy Liquidity Boost Under Dodd-Frank
Commentary  |  4/6/2011  | 
Dodd-Frank's impact will extend to the cash credit markets and will serve as the catalyst for increasingly electronic and centralized trading.
Fidessa Launches Mexican Trading Platform
News  |  4/6/2011  | 
The multi-asset trading platform is compliant with new regulations in Mexico introduced to drive more automated trading solutions.
Flash Crashes, Sacred Cows and Doing the Right Thing
Commentary  |  4/5/2011  | 
Industry pressures to forgo preferencing restrictions and trade-at rules will be intense, even if the new rules are the right prescription for staving off another flash crash.
Linedata Refreshes Mfact Accounting Solution
News  |  4/5/2011  | 
Linedata releases new version of Mfact with web-based client reporting required by global fund administrators.

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