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News & Commentary
Content tagged with Compliance posted in October 2013
Tradeweb's SEF Settles on Standardized Swaps to Phase In Market Transition
News  |  10/30/2013  | 
Tradeweb said the derivatives to be 'made-available to trade' on its SEF constitute about 80% of standardized swap volumes based on market data.
Markit Offers Granular Analysis of Trades and Venues
News  |  10/29/2013  | 
Emphasizing its independence and the richness of its data and analytics, Markit is offering its TCA service to both the buy-and sell-side community.
SEFs Arrive: A New Market Structure Is Born
News  |  10/29/2013  | 
Swap execution facilities officially started on October 2, 2013, but 2014 is the year when they will really hit their stride.
2014: More Compliance Mandates, Or A Return To Innovation?
News  |  10/29/2013  | 
Capital markets CIOs hope that 2014 will allow IT organizations to start working on projects that provide business value, rather than just meet compliance demands.
10 Post-Sandy Business Continuity Must Dos
Commentary  |  10/28/2013  | 
A year after superstorm Sandy, financial services firms still need to brush up on business continuity plans. Here are 10 tips.
Shelter from the Storm: Business Continuity & Rethinking Disaster
Commentary  |  10/28/2013  | 
The one-year anniversary of Superstorm Sandy has financial services leaders revisiting and rethinking their business continuity plans.
Citicom Assure To Capture And Analyze Data For Compliance
News  |  10/25/2013  | 
Citicom Solutions launches software that captures and analyzes data from mobile and fixed-voice recordings, IM, emails, and text messages to help banks comply.
ICAP Hires CME's Derivatives Executive to Head SEF
News  |  10/24/2013  | 
The interdealer broker appointed Laurent Paulhac as CEO of ICAP SEF as volumes begin to shift to the new swap trading platforms.
Are Firms Suffering From Inefficiencies Due To Multiple Reconciliation Processes?
News  |  10/23/2013  | 
Over half of the firms surveyed use over 10 different systems to perform reconciliation, causing inefficiencies from fragmentation.
BATS-Direct Edge Merger Receives Anti-Trust Clearance
News  |  10/23/2013  | 
The proposed merger between securities exchange operator BATS Global Markets and rival Direct Edge Holdings LLC passed an anti-trust review by the U.S. Justice Department.
A Tale of Two SEFs: Javelin and TrueEX on Swap Trading
News  |  10/22/2013  | 
Two startups, Javelin Capital Market and TrueEX are taking different approaches to offering swaps on their trading platforms, sparking some debate.
Capital Market Firms Turning To Onboarding and LEI Data Management Technologies
News  |  10/22/2013  | 
A new Aite Group report says there is a compelling need for capital market firms to invest in technologies to address legal entity data management, regulatory demands and elongated onboarding timeframes.
Quantum Dawn 2: Where To Improve
News  |  10/21/2013  | 
SIFMA says financial services crisis management procedures should be improved, following Quantum Dawn 2.
MarkitSERV has Handled Over $1 trillion in SEF Trades in Past 10 Days
News  |  10/21/2013  | 
Eight SEFs have used MarkitServ for trade routing to clearinghouses, SEF confirmation and regulatory reporting, the company said.
Etrali Trading Solutions and EE Develop New Mobile Voice Recording Offering
News  |  10/18/2013  | 
Etrali and EE announced UK’s first network-integrated service that fully complies with FCA mobile trading regulations.
SEC Commissioner Said SROs Should be Part of Holistic Market Structure Review
News  |  10/17/2013  | 
SEC Commissioner Dan Gallagher said that immunity of exchange SROs in market glitches is something that will come up in a holistic market structure review.
Custom House To Offer Compliance Portal
News  |  10/16/2013  | 
Custom House Global Fund offers regulatory and compliance portal for alternative investment funds.
Distrust In Global Financial Institutions Remains High In The U.S.
News  |  10/15/2013  | 
Trust in global financial institutions increases in Europe, but remains flat in Asian and the U.S.
Wells Fargo Joins Eris Exchange as Liquidity Provider for Swap Futures
News  |  10/15/2013  | 
The bank will provide liiquidity and clearing services in swap futures on the US-based futures exchange, which is seeing increased migration as the 2014 trading mandate gets closer.
Check the Time: Majority of Firms have Time Synchronization Errors
News  |  10/15/2013  | 
Financial firms wrongly believe the timing on trade and reference data. Increased awareness has spurred demand for accurate solutions.
Major Banks Resolution Plans Cite Data Systems and Planning
News  |  10/14/2013  | 
In part two of this blog series, it is clear that data governance is part of many of the major bank's resolution plans.
Nasdaq Launches Algo Trading Test Facility
News  |  10/14/2013  | 
Nasdaq will launch a cost effective solution for broker dealers to manage risk exposures, and understand economics around new trading strategies.
Dodd Frank, Data Governance & Compliance: Band-Aids vs. Platforms
News  |  10/11/2013  | 
There are five fundamental building blocks which can serve as the foundation for an enterprise recording and reporting platform.
The New World of SEF Trading: Paving the Way for Change in Trading OTC Derivatives
Commentary  |  10/10/2013  | 
As electronic trading in OTC derivatives takes place on swap execution facilities, market participants will increasingly rely on technologies like smart order routing , algorithmic trading, market making, order management and DMA, writes SunGard Front Arena's Tim Dodd.
FINRA's Dark Pool Proposal Needs A Brighter Light
Commentary  |  10/10/2013  | 
The proposal on dark pools from FINRA doesn't go far enough and leaves a lot of information in the shadows.
What Do Resolution Plans Say About Data Governance (Part 1)?
Commentary  |  10/8/2013  | 
Close examination reveals that data governance plays an important role in financial firms' resolution plans, which are used to determine how a financial institution can unwind itself from a significant financial incident.
Here's Why Tracking Voice Patterns Can Improve Compliance
News  |  10/7/2013  | 
In addition to standard compliance stipulations surrounding voice recording, flagging emotional sentiment and keywords of internal communications can unlock significant value in captured information.
8 Major Banks Join Instant Messaging Initiative
News  |  10/7/2013  | 
Markit is powering the new industrywide federated IM platform with Thomson Reuters' backing. Where does this leave Bloomberg?
Reducing Complexity and Cost of Compliance with a Dynamic Data Enterprise Approach
Commentary  |  10/1/2013  | 
How can alternative investment managers leverage existing infrastructure to satisfy reporting mandated by the many global regulatory agencies, including SEC, FINRA, CFTC, and others?

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