Wall Street & Technology is part of the Informa Tech Division of Informa PLC

This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 8860726.

News & Commentary
Content tagged with Compliance posted in September 2009
Sophis Upgrades Risk Tools for Investment Managers
News  |  9/30/2009  | 
Includes a pre-trade simulation tool that allows investment managers to monitor the potential impact of a trade on portfolio exposure, risk scenarios and pre-trade compliance rules.
Kaufman Praises SEC Proposed Ban On Flash Orders, But Seeks Broad Review
News  |  9/24/2009  | 
Senator urges regulator to examine high frequency trading, colocation and dark pools, as well as direct market access.
Walking a Tightrope: Financial Reform Options
News  |  9/24/2009  | 
Whatever does happen, Congress faces a mid-term election in 2010. So far, lawmakers have been all talk and no action on financial regulatory reform. Will voters be content with a lot of blather and little action when the elections come around?
SEC Proposes Flash Order Ban
News  |  9/18/2009  | 
The Securities and Exchange Commission voted unanimously to propose a rule amendment to officially ban flash orders.
Eliot Spitzer on How Banks Have Spent Taxpayers' Money
News  |  9/15/2009  | 
Former Governor Eliot Spitzer talks with CNN's John Roberts on the economy and Wall Street. Spitzer says not enough has been done since Lehman failed a year ago, likening what has been done so far to moving deck chairs on the ship of the Titanic and not actually doing anything at a regulatory level that will change the system.
Madoff Used SEC Incompetence to Lure Investors
News  |  9/3/2009  | 
It was pretty obvious that SEC Inspector General David Kotz's internal review of the agency's missteps around the Madoff fraud wasn't going to be pretty. But when the executive summary was released yesterday I couldn't pull myself away. The details around how exactly the SEC botched each individual complaint it received about Madoff and his questionable practices were very interesting. Particula
SEC Summary: Madoff Intimidated Examiners
News  |  9/2/2009  | 
The Executive Summary of SEC Inspector General David Kotz’s internal report on the agency’s failings to uncover the Madoff fraud has been released, describing in detail the investigative shortcomings in each of six complaints received by the SEC starting in June of 1992.
Transparency: The Rx for What Ails Market Structure
Commentary  |  9/2/2009  | 
If we don't do something to shine a light on market practices, such as high-frequency trading and flash orders, and prove their value, many may just get regulated out of existence.
Naked Access Attracts High-Frequency Traders, Gets Regulators' Attention
News  |  9/1/2009  | 
Broker-sponsored -- and more specifically, naked -- access to exchanges could pose systemic risk to the financial system, and regulators are taking notice.

Register for Wall Street & Technology Newsletters
Exclusive: Inside the GETCO Execution Services Trading Floor
Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.