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 December 2009
Regulators Take Aim at Dark Pools
News  |  12/23/2009  | 
As the SEC looks to improve market transparency, dark pools have come under renewed fire. Three regulatory proposals have raised buy-side opposition.
FBI Investigates $10 million Citigroup Hack
News  |  12/22/2009  | 
It is not yet known whether thieves gained access to Citibank's systems directly or through third parties, according to the Wall Street Journal.
Potential and Unintended Consequences of the Financial Transaction Tax
Commentary  |  12/21/2009  | 
The FTT may create natural incentives for financial services companies to move overseas, just as their manufacturing brethren has done over the past two decades.
Dark Pools, Derivatives and HFT Top Buy Side's Regulatory Agenda
Commentary  |  12/18/2009  | 
Buy-side traders oppose regulations that hinder high-frequency trading and reduce liquidity in dark pools, but they welcome heightened oversight of derivatives.
China Businesswoman Sentenced To Death for $56m Investor Fraud
News  |  12/18/2009  | 
Wu Ying used the money for personal use and operating costs and to pay off loans, according to reports.
Sponsored Access: Where the Naked Need Not Apply
News  |  12/17/2009  | 
A new report from Aite Group defines the sponsored access market, provides estimates of sponsored access penetration of the U.S. equities market and includes predictions on potential regulatory changes and their possible impact.
SEC Charges Former Employees of Global Firms in Serial Insider Trading Scheme
News  |  12/16/2009  | 
Executives exchanged illegal tips through coded text messages and yellow sticky notes.
Aligning Washington and Wall Street
Commentary  |  12/15/2009  | 
Wall Street and Washington are misaligned. If we want this country to continue to grow, this needs to be changed now.
Derivatives Reform Debate Heats Up With House Vote
News  |  12/11/2009  | 
As Congress irons out OTC derivatives reform, buy-siders push for transparency, including central clearing and trading on exchanges.
House Finally Debates Financial Regulation Bill
News  |  12/11/2009  | 
The bill for new financial services regulations is finally on the House floor, 15 months after Lehman Brothers collapsed.
Tradeweb Calls Lynch Amendment "Anti-Competitive"
News  |  12/9/2009  | 
Tradeweb's CEO Lee Olesky issued the following statement with regard to the Lynch Amendment and its impact on the development of clearinghouses and execution platforms.
The Lynch Amendment Stirs Up Battle in Derivatives Reform
News  |  12/8/2009  | 
A battle is brewing over the so-called Lynch Amendment that would block large bank dealers from owning more than 20 percent of an OTC derivatives clearinghouse.

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.