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Stressed Out by Compliance, Reputational Damage & Fines? Financial services executives are living in a "regulatory pressure cooker." Here's how executives are preparing for the new compliance requirements.
Voice Brokers, FCMs & the Debate About When Execution Occurs Voice brokers in OTC derivatives are under pressure from FCMs to screen customers for pre-trade risk limit, but they lack the technological means to carry this out. Meanwhile, it's ambiguous as to when a voice execution actually occurs.
The Risks of Communication on Wall Street Regulators are increasing surveillance of all forms of communications, including social media, instant messaging, and more. Is your firm ready to comply?
Next-Generation E-Communications Surveillance Starts Now Monitoring every single email, voice call, text, or chat for compliance is a daunting challenge, but analytics technology is improving.
Raising the Bar on Co-Location for All Trading Firms Any high-frequency trading firm that co-locates its servers at an exchange should have formal market-making responsibilities, be registered as a broker dealer, and be tracked for compliance with SEC rules.
Keep Your Eye on the Market Structure Ball Flash Boys has started a simplistic debate about HFT, when the real focus should be on an overly complex and fragmented market structure.
TrueEX Processes $750 Billion in Bunched Order Allocations The firm's post-trade platform is helping asset managers and FCMs handle "bunched order" allocations for interest rates swaps, a major pain point for the buy-side.
Beyond Heartbleed: 5 Basic Rules To Reduce Risk Firms continue to migrate sensitive information into fewer web-based applications with homogenous environments, increasing the potential for damage.
White House Big Data Report Stresses Privacy and Balance Companies need to be thoughtful of the upstream and downstream impact of using big data.
The Flash Crash – And Near Misses – Four Years Later In all seriousness, regulators need to continue to think of the Flash Crash as a possible precursor to a meltdown of the global financial system, writes Walter Ferstand of NICE Actimize.
Javelin's CEO James Cawley Departs SEF An advocate for transparency in swaps trading, James Cawley, founder and CEO of Javelin SEF, is parting ways with the derivatives trading platform.
White House Big Data Report: 5 Privacy Takeaways Big data raises serious privacy concerns that need to be addressed, sooner rather than later, report says.
Common Backup Blunders Don't get caught with your pants down.
Don’t Let "Flash Boys" Throw the HFT Baby Out with the Bathwater Whether it's "Flash Boys" or four years since the Flash Crash, regulators should not come down against HFT without examining the pros and cons, argues Dev Tyagi of Supermicro UK.