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News & Commentary
Content tagged with Compliance posted in May 2014
Stressed Out by Compliance, Reputational Damage & Fines?
Slideshows  |  5/30/2014  | 
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
Commentary  |  5/30/2014  | 
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
Commentary  |  5/29/2014  | 
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
Commentary  |  5/28/2014  | 
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
Commentary  |  5/27/2014  | 
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
Commentary  |  5/22/2014  | 
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
News  |  5/19/2014  | 
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
News  |  5/19/2014  | 
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
News  |  5/7/2014  | 
Companies need to be thoughtful of the upstream and downstream impact of using big data.
The Flash Crash – And Near Misses – Four Years Later
Commentary  |  5/7/2014  | 
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
News  |  5/5/2014  | 
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
News  |  5/5/2014  | 
Big data raises serious privacy concerns that need to be addressed, sooner rather than later, report says.
Common Backup Blunders
News  |  5/2/2014  | 
Don't get caught with your pants down.
Don’t Let "Flash Boys" Throw the HFT Baby Out with the Bathwater
Commentary  |  5/1/2014  | 
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.

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