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News & Commentary
Content tagged with Compliance posted in October 2008
Credit Agricole To Implement Brokerage Compliance Market Abuse Solution
News  |  10/31/2008  | 
Actimize solution chosen to aid in compliance.
Four Wall Street Giants Invest in FTEN’s Risk Technology to Expand Turnkey Solution to Hedge Funds in Europe and Asia
News  |  10/30/2008  | 
Merrill Lynch, Goldman Sachs, J.P. Morgan and Credit Suisse take stakes to support multi-prime trend and multi-asset offering to hedge funds.
Research Spots Trend Toward Globally Managed Sustainability Programs
News  |  10/30/2008  | 
Cisco standardizes globally on SAS for sustainability management.
Scottrade Ranks Highest in Self-Directed Investor Satisfaction in 2008
News  |  10/29/2008  | 
Investment firm's top ranking in eight of the last nine studies confirms customer trust remains strong, says CEO Rodger Riney.
BNP Paribas Offers New Multi-Trading Facilities Services
News  |  10/29/2008  | 
BNP Paribas Securities Services' expands services to clients on multi-trading facilities.
Deconstructing "Too Big to Fail"
Commentary  |  10/28/2008  | 
With increased regulation an almost foregone conclusion, the financial services industry will have to work to regain trust and credibility.
Wall Street Bonuses in a Bailout Year?
News  |  10/28/2008  | 
Wall Street firms are setting aside billions of dollars to make bonus payments to employees after receiving $1.25 in taxpayer money from the government to shore up their balance sheets.
DTCC and LCH.Clearnet Move to Create World’s Largest Clearing House
News  |  10/23/2008  | 
Combined company would cover equities, fixed income, mutual funds, annuities, OTC products and more.
Onset Technology Launches SmartPhone Compliance Tool
News  |  10/22/2008  | 
Employing a lexicon-based system, METAmessage ACT monitors words, patterns and strings for sensitive content transmitted via wireless email, SMS, personal BlackBerry mail, BlackBerry PIN-to-PIN and instant messaging.
Wall Street Firms Using CEP to Measure and Manage Risk
News  |  10/22/2008  | 
New complex event processing applications promise to help firms get a better handle on their risk exposure, but can CEP erase Wall Street's risk management woes?
SIFMA CEO Asks Congress for New Regulator
News  |  10/22/2008  | 
When's the last time an industry association asked for an additional regulatory agency? Yet SIFMA's Tim Ryan did just that in testimony before the House Financial Services Committee yesterday.
Congressman Waxman No Longer Believes Markets Can Self Regulate (audio)
News  |  10/22/2008  | 
Congress is holding hearings about the role rating agencies played in the credit crises, and Congressman Henry Waxman no longer believes markets can self regulate.
STA Announces New Officers and Board
News  |  10/21/2008  | 
Federal and NY State Prosecutors Investigating CDS Trading (NPR.org audio)
News  |  10/21/2008  | 
Prosecutors are looking to see if traders manipulated the prices of credit default swaps in order to weaken confidence in financial companies.
E-discovery requests expected to rise sharply with financial crisis
News  |  10/20/2008  | 
And then the investigators came marching in... In the midst of the current financial turmoil, firms can expect a rise in the number of e-discovery requests they have to respond to, experts predict.
UBmatrix Launches UBmatrix Report Builder 3.5 with New SEC-Ready Features
News  |  10/16/2008  | 
With SEC XBRL mandate imminent, UBmatrix unveils new solution.
Tabb Says of IBanks: New Governance, More Regulation, Potential Custodian Acquisitions, and a New Breed of Smaller IBanks to Emerge.
News  |  10/15/2008  | 
New governance structure for investment banks and acquisitions of custodian banks? It’s potentially all part of the future, says Larry Tabb, Founder, Tabb Group.
Knight Unveils NetDelta Settlement Platform for Credit Derivatives
News  |  10/14/2008  | 
Solution Competes with Multiple CDS Clearinghouse Initiatives
NYSE Blog: Neiderauer Supports Uptick Rule
News  |  10/10/2008  | 
Creditex Rolls out Electronic Auction To Reduce Risk in Credit Default Swaps
News  |  10/2/2008  | 
Dealers Adopt Electronic Process to Solve the Problem of Gap Risk

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