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News & Commentary
Content tagged with Compliance posted in April 2008
Overbearing Market Reform Will Only Slow Market Innovation
Commentary  |  4/15/2008  | 
As investors call for extensive regulatory oversight of certain derivatives, regulators must be careful not to create a regulatory crutch that removes innovation from the markets.
FINRA Issues Guidelines to Prevent Rogue Trading
News  |  4/14/2008  | 
In the aftermath of the clamorous Soc Gen scandal, FINRA has issued guidance to financial firms outlining best practices for detecting and preventing rogue trading. FINRA CEO Mary L. Schapiro pointed out that while rogue trading isn't new, pervasive elctronic trading and market lingages have increased pressure on some firms to relax internal controls...
Financial Institutions Evaluate Biometrics
News  |  4/11/2008  | 
While financial institutions aren't yet ready for consumer-facing biometrics deployments, these technologies are gaining popularity for behind-the-scenes authentication.
Hedge Funds Say Technology Is Critical to Business
News  |  4/11/2008  | 
Hedge funds are focusing their technology efforts on improving automation around OTC derivatives, as well as adding collateral management technology and exerting better control over prime brokerage charges and rates, according to a new Aite survey.
Treasury's Plan for Regulatory Overhaul Annoints the Fed As Wall Street's Supercop
News  |  4/8/2008  | 
Everyone says with the Fed giving investment banks the right to borrow funds at the discount window, this has opened up Wall Street firms to more regulatory scrutiny.

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