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News & Commentary
Content tagged with Compliance posted in May 2010
More Scrutiny in an Altered World
News  |  5/20/2010  | 
Companies scramble to adjust to new rules of the road while governments weigh curbs on leverage and demands for more transparency.
Opening Statement on the Flash Crash from SEC's Shapiro
News  |  5/20/2010  | 
The SEC and market participants are still trying to sort out what exactly happened during a 20-minute period on May 6 that saw the markets swing wildly in both directions. Mary Shapiro, chair of the Securities and Exchange Commission, briefs Congress on what the regulator has discovered in this video from MSNBC.
More On 'Flash Crash': Why Pick 5-Minute Circuit Breakers?
News  |  5/20/2010  | 
In a CNBC video, Joe Mecane, NYSE EVP reacts to the pilot-5-minute circuit breakers and the SEC-CFTC's draft report on what caused the flash crash.
SEC Announces Proposed Circuit Breaker Rules
News  |  5/19/2010  | 
In response to the May 6 “flash crash,” the SEC is publishing proposed circuit breaker rules to pause trading in certain stocks if the price moves 10 percent or more in a five minute period.
Controversy Breeds Change
News  |  5/14/2010  | 
With Goldman Sachs in the hot seat and regulators intensifying the push for financial reform, it's only a matter of time before big changes hit the Street.
Financial Institutions Now Taking a Holistic Approach to eDiscovery, Internal Investigations and Compliance
Commentary  |  5/14/2010  | 
Corporate legal departments are taking a more unified approach to internal investigations, eDiscovery, audit and compliance.
The Industry Must Educate the Public and Lawmakers About the Markets
Commentary  |  5/14/2010  | 
Without a true understanding of how the markets work, each time something out of the ordinary happens on Wall Street, the industry will be called down to Washington to testify in front of senators who know nothing of what they speak.
Hodgkins Named Assoc. Director of SEC’s Division of Enforcement
News  |  5/14/2010  | 
The Securities and Exchange Commission has named Gerald Hodgkins associate director of the Division of Enforcement. Hodgkins will assist the Commission in the planning and direction of enforcement efforts.
SIFMA Chairman Elect on Regulation Reform
News  |  5/14/2010  | 
John Taft, chariman elect for SIFMA, discusses the state of the proposed financial services regulation reform that is working its way through Washington in this video from CNBC.
Update on the 'Flash Crash:' Fat Finger or Perfect Storm?
News  |  5/13/2010  | 
The precise cause of last Thursday's 20-minute 'flash crash' is still a mystery to most people on Wall Street and Main Street.
19 Months Later
Commentary  |  5/11/2010  | 
Financial regulatory reform may soon become a reality, but there are still more questions than answers.
Bank Reform Amendment to Prevent Some Betting
News  |  5/10/2010  | 
A new amendment to the Senate's financial regulation bill would ban investment banks from betting against that products that they sell to their customers.
Daiwa Capital Markets America Goes Live with Fidessa's U.S. Trading Platform
News  |  5/10/2010  | 
Uses hosted-solution for order management, compliance engine and built-in algorithms.
Theories Abound On Market Meltdown
News  |  5/7/2010  | 
Was it a "fat finger" error by a trader, a rogue algorithm or a nervous reaction to the Greece-European debt crisis that caused the stock market meltdown yesterday?
Why Are Rating Agencies Off the Hook?
News  |  5/6/2010  | 
One question that boggles the mind is why the rating agencies are being allowed to get away with cloaking sub-prime debt in triple A-ratings?
Hedge Funds Face Massive Transformation
News  |  5/4/2010  | 
As they prepare to comply with new and more stringent rules, hedge funds must align their technology and processes to provide the transparency demanded by regulators and investors alike.
New Reporting Requirements Could Cripple Hedge Funds' IT
Commentary  |  5/4/2010  | 
Already overburdened by market data, hedge funds' IT infrastructures may be crippled by new reporting requirements.

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