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News & Commentary
Content tagged with Compliance posted in February 2010
The Proposed Volker Rule Prompts Spin Outs of Prop Desks
News  |  2/26/2010  | 
With the Obama Administration moving forward on the so-called Volcker Rule to limit banks from conducting proprietary trading, some technology vendors see an opportunity to serve bank spin outs.
The Marriage of Compliance and Risk
Commentary  |  2/25/2010  | 
With a new regulatory regime in the offing, and the promise of more stringent controls likely to be fulfilled, Matt Grinnell of Fidessa LatentZero looks at how asset management firms can prepare themselves by breaking down the barriers between legal, risk management and compliance teams.
Why Government Regulators Seem Unprepared
News  |  2/24/2010  | 
The global financial crisis and Toyota's current mess have something in common -- government watchdogs didn't fully understand the complex systems they were supposed to be regulating.
Don't Expect FinReform Legislation This Week
News  |  2/23/2010  | 
CNBC is reporting that Senator Chris Dodd is unlikely to unveil financial reform legislation this week, to negotiate with Republican Sen. Bob Corker over the consumer protection piece.
What Regs Are Next? (video)
News  |  2/23/2010  | 
In light of the Madoff scandal and the financial crisis, regulators who have been heavily scrutinized for their failings are under more scrutiny than ever before. In this video clip, Senior Editor Melanie Rodier speaks to Larry Tabb, CEO and founder of TABB Group, about what new regulations the financial community can expect, and about the future of the SEC.
SEC Risk Proposal: A Fair Start But Lacking Specifics
Commentary  |  2/22/2010  | 
The SEC risk management proposal advocating baseline operational risk controls is a good-faith attempt by regulators to augment risk management within brokers and broker/dealers, however, the SEC leaves too much discretion of acceptable practices to the discretion of the firms whose activities require control.
JPMorgan: Regulation Increases Costs
News  |  2/18/2010  | 
Tighter regulation is supposed to be the price of making the banks stable and taxpayers whole, but JPMorgan Chase is warning it will also bring a much higher cost of doing business,
CastleOak Securities Flips Switch on Fidessa Trading Platform
News  |  2/17/2010  | 
Boutique investment bank upgrades its trading technology with Fidessa hosted trading platform.
DTCC Receives Fed Approval for Warehouse Trust
News  |  2/11/2010  | 
The Warehouse Trust Company will be regulated by the Federal Reserve System to bring increased transparency and mitigation to the global OTC credit derivatives market.
OptionEase Attains Microsoft Gold Certified Partner Status
News  |  2/10/2010  | 
Recognizes OptionEase's expertise in using Microsoft technologies to deliver SaaS applications for compliance with complex FAS 123 regulations.
International Center for Financial Regulation Launches Activities in Asia
News  |  2/9/2010  | 
The ICFR, headquartered in London, is the product of cooperation between 19 leading financial services companies and provides training, scholarship and thought leadership on financial regulation.
Jaypee International Receives Approval to Trade on LME
News  |  2/4/2010  | 
Chicago-based Jaypee International has been approved as an associate trade member of the London Metal Exchange Ltd., adding to the exchange memberships of its worldwide affiliates.
The Perils of a Financial Services Transaction Tax
Commentary  |  2/2/2010  | 
A financial transaction tax could generate $150 billion in income, but it could also hurt retail investors in the long run.
SEC and Technology Can Reduce Naked Access Risk
Commentary  |  2/2/2010  | 
Smart Regulation: Is It Possible?
Commentary  |  2/2/2010  | 
In a new research report from Aite Group, Paul Zubulake examines the various key components of financial regulation being considered by the U.S. Senate today, the likelihood of each being implemented, and in what ultimate form.

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