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News & Commentary
Content tagged with Compliance posted in November 2011
LotusGroup Improves Data Management In the Cloud
News  |  11/30/2011  | 
LotusGroup Advisors eliminates manual processes and grows assets under management with the help of cloud-based data management solutions.
Next Stop for Dodd-Frank Might Be the Courts
Commentary  |  11/30/2011  | 
Did Paulson Tip Off Hedge Fund Pals?
Commentary  |  11/29/2011  | 
MF Global's Disappearing Cash
Commentary  |  11/29/2011  | 
Although $200 million in cash from MF Global has surfaced at JP Morgan in Britain, customers may never see the money.
Big Data May Be the Final Frontier on Wall Street
Commentary  |  11/29/2011  | 
Data is becoming all-encompasing on the Street -- for both compliance and trading, says Larry Tabb.
MiFID II Places High-Frequency Trading Squarely in European Regulators' Crosshairs
News  |  11/28/2011  | 
Under the new MiFID II proposal, European regulators are focusing even greater scrutiny on dark pools and high-speed trading. On the bright side, the law won't take effect any time before 2013.
Impacted by MF Global, Patsystems Receives Takeover Offer
News  |  11/28/2011  | 
ION Trading has until Dec. 26 to make a cash offer for the trading software house, which is owed substantial revenues by MF Global.
The Barney Frank Legacy
Commentary  |  11/28/2011  | 
Algos Once Again Come Under Fire
News  |  11/28/2011  | 
Rogue algos have been increasingly scrutinized by regulators and critics since the Flash Crash.
Crazy Market Swings - Inside the New Normal
News  |  11/23/2011  | 
We had better get used to the recent market volatility because the steep swings will be here for a while.
Bank of America Told to Clean Up its Act
News  |  11/23/2011  | 
Regulators have delivered a warning to Bank of America: Clean up your act or face enforcement actions.
Senator Calls For MF Global Hearing
News  |  11/21/2011  | 
After MF Global's trustee announced that $1.2 billion in customer funds are missing from the bankrupt MF Global, Kansas Sen. Pat Roberts is calling for the company's CEO Jon Corzine to testify before a Senate agricultural committee.
Regulation May Spell the End of High-Speed Quant Trading
Commentary  |  11/18/2011  | 
Despite the money that Wall Street is spending on Washington lobbyists to try to neuter the Dodd-Frank Act, quantitative trading is going to face greater scrutiny in the coming years.
Managing Risk in High-Frequency Trading
News  |  11/17/2011  | 
The 9 Most Notorious Insider Trading Cases of 2011
Slideshows  |  11/17/2011  | 
Of the 57 insider trading cases brought by the SEC this year, Advanced Trading highlights nine standouts, like the case of Raj Rajaratnam, in a rogues gallery of accused and convicted inside traders.
MF Global Post-Mortem Is Underway
News  |  11/17/2011  | 
Federal prosecutors have issued subpoenas and the trustee charged with recovering the money has hired a team of 200 accountants.
Pipeline's Bombshell Hurts All Dark Pools
News  |  11/15/2011  | 
Trust in dark pools takes a hit as the SEC charges Pipeline with filling customer orders via an affiliated trading entity rather than by matching them against other customer orders, as advertised.
What's Next for Occupy Wall Street?
Commentary  |  11/15/2011  | 
MiFID II Likely to Backfire and Hurt Investors, Markets
News  |  11/15/2011  | 
While we in the United States believe Dodd-Frank and new SEC regulations are challenging, the European sentiment on the MiFID Review makes the U.S. regulatory proposals look downright friendly.
Is Legalized Insider Trading Making Congressmen Rich?
Commentary  |  11/14/2011  | 
There isn’t any legal barrier stopping lawmakers from investing on information that's not available to the public.
SEC May Ease Hedge Fund Data Rule
News  |  11/14/2011  | 
A Timely Revolution In Credit Value Adjustment
News  |  11/11/2011  | 
The new regulatory environment demands that credit value adjustment be both marked to market and actively hedged. Fortunately, powerful analytics tools have emerged to meet the need for fast, accurate and flexible exposure measurement and management, according to Markit's Nosheen Kahn and Paul Jones.
Hall Of Shame: MF Global’s Books Are A Complete “Disaster”
News  |  11/11/2011  | 
It's happening again: According to reports, the firm’s books had incomplete transactions, and numbers that just didn't seem to add up.
Will Europe Delay MiFID II?
News  |  11/10/2011  | 
As Europe melts down, the question is will the European Union delay the implementation of the latest version of MiFID? Don't bet on it.
Does MF Global's Failure Point to Regulatory Gaps?
News  |  11/8/2011  | 
SEC Chairman Mary Schapiro told CNBC that MF Global collapsed because it made bad decisions. But how did regulators not see its exposures or excessive leverage?
Fund Managers Catch A Break From The SEC
News  |  11/8/2011  | 
Form PF’s final rules aren’t as bad as anticipated.
Why Wall Street is So Irresponsible
Commentary  |  11/8/2011  | 
Look at the latest example, MF Global, which imploded due to a combination of a lack of risk controls, improperly supervised trading, and internal politics that permitted over-leveraged, inadequately collateralized trades.
Corzine Steps Down, Gensler Swoops In
Commentary  |  11/4/2011  | 
Transaction Tax Proposals Not Gaining Much Headway
Commentary  |  11/3/2011  | 
Due to staunch Republican opposition in both chambers of Congress, such a tax has almost no chance of becoming law in the United States. The issue is also front and center in Europe as the G20 summit kicks off in Cannes this week.
The Risks of Jon Corzine
Commentary  |  11/2/2011  | 
Winter Of Discontent: What Occupy Wall Street Should Really Be About
Commentary  |  11/1/2011  | 
News of MF Global's downfall proves once again that little has changed on Wall Street since the 2008 financial collapse.

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