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Droit Taps Industry Veterans as Advisors to Its Derivatives Compliance Platform Droit Financial Technologies appointed former ISDA CEO Robert Pickel, fintech specialist Mark Beeston, and former UBS executive Seth Cohen to join a new advisory board that will broaden the conversation about derivatives compliance.
After Scandals & Ethical Lapses, Financial Industry Needs a Code of Conduct A financial markets trade body is bringing a model code of conduct to participants who work in interest rates, FX, commodities, and derivatives. After a series of fines, can this help banks repair their reputations?
Manage Data to Meet Compliance Demands With no end to the data and information glut in sight, firms are seeking better ways to aggregate, analyze, and manage data to satisfy compliance and competitive demands.
Buy Side Vets Research Providers with Standardized Questions Buy-side concerns over insider trading led Castine Consulting and Integrity Research to launch a cloud-based platform that standardizes due diligence questionnaires posed to research providers.
FATCA Compliance Still Global Nightmare In a survey of finance executives, 67% report that the complexity of FATCA requirements is the top hurdle to achieving compliance.
4 Factors Driving Enlightenment & Big-Data Adoption in Regulatory Compliance Whether seeking to maintain compliance or to drive business value, emerging technologies can unleash tremendous potential.
Get Ready for RDA The deadline for Risk Data Aggregation (RDA) is approaching quickly. Is your bank ready?
SECís CIO Grows Tech by Leaps & Bounds Tom Bayer, CIO for the SEC, has helped the agency improve its systems to better monitor todayís electronic markets.