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News & Commentary
Content tagged with Compliance posted in April 2010
High-Frequency Trading Firms Step Out of the Shadows
Commentary  |  4/30/2010  | 
In response to an SEC concept release, high-frequency trading firms are providing the regulator with an unprecedented inside look into their strategies.
Wall Street Buzzes about Goldman's Senate Testimony
News  |  4/29/2010  | 
After their public grilling by U.S. senators, how did Goldman Sachs executives fare at the hearing on Capitol Hill?
Financial Reform: A Colossal Failure of Leadership
Commentary  |  4/27/2010  | 
The leaders of the financial industry are largely to blame for accelerating the financial crisis and bringing on the regulatory changes that it now faces.
Obama Visits Wall Street, With Goldman Case As Backdrop
News  |  4/22/2010  | 
After a week of anger inflamed by the SEC's case against Goldman Sachs, President Obama is taking his message to Wall Street today on the need to limit risk and push for financial reform.
SunGard Launches Valdi Trading Solution for U.S. Brokers
News  |  4/19/2010  | 
SunGard integrates new and existing services under Valdi brand, pitching a single solution to sell-side customers.
Managing OTC Derivatives: Never Waste a Good Crisis
News  |  4/15/2010  | 
OTC derivatives didn’t cause the financial crisis, but they certainly played a part. However, OTC derivatives may end up being the scapegoat while other larger risks are overlooked.
Wall Street's Hiring Turnaround
News  |  4/14/2010  | 
Wall Street is hiring again, and the demand is for risk managers, and specialists in distressed debt.
A Mortgage Timb Bomb: High-Risk Lending Rewarded at WaMu
News  |  4/14/2010  | 
Senators grilled former executives of Washington Mutual about the failed bank's lending practices which rewarded high-risk lending.
Reform in the Capital Markets: How We Would Do It.
Commentary  |  4/13/2010  | 
With current regulatory reform efforts likely to follow the path of many past actions and result in compromised solutions that don't achieve targeted ends and have a host of unanticipated side effects, we outline what changes we would make.
FSA Fines Credit Suisse, Instinet For Failure To Report
News  |  4/8/2010  | 
The firms were found to have committed multiple breaches that resulted in failures to provide transaction reports promptly and correctly to the FSA.
Finance Social Networking Site LinkedFA Offers New Compliance Feature
News  |  4/7/2010  | 
The compliance feature for brokerage firms and wire houses provides compliance officers with automatic daily reports on FA's activity.
CEOs Get Pay Cut, But Trader Pay Biggest On Record
News  |  4/6/2010  | 
Across Wall Street, leading firms paid out $140 billion in compensation and benefits, the highest number in history, based on a final tally of the pay disclosures at 38 financial-services firms, according to the Wall Street Journal.

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