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News & Commentary
Content tagged with Compliance posted in August 2013
Trade Surveillance Increasingly A Front Office "Business" Responsibility
News  |  8/30/2013  | 
In the wake of Knight Capital, there's a trend in the front office taking on more surveillance responsibility.
Nasdaq OMX Cites Flood of Messages in SIP Failure
News  |  8/29/2013  | 
In a summary of findings, Nasdaq OMX said it received more than 20 connect and disconnect sequences from NYSE Arca, which consumed capacity on its SIP that triggered more problems.
Do Regulation and Customer Service Go Hand in Hand?
News  |  8/29/2013  | 
If you're changing the on-boarding process because of regulations, it's an opportunity to make your customer service better.
10 Trading Glitches That Stopped The Markets
Slideshows  |  8/23/2013  | 
From flash crashes to naughty squirrels, here are 10 notable exchange snafus that have crippled the stock market. 
The Two Faces of Regulation SCI: Reducing Risk While Curbing Innovation?
Commentary  |  8/23/2013  | 
While the SEC’s draft proposal of Regulation SCI is a major step toward mitigating the potentially hazardous consequences resulting from a market that is increasingly reliant upon rapid-fire technology, the burdens of data collection risks impeding market innovation and inundating the Commission with extreme volumes of data.
Nasdaq's Investigation Continues After 'Flash Freeze'
News  |  8/22/2013  | 
In a statement following the three hour trading halt, Nasdaq says it will continue to investigate the source of the glitch.
Reviews Suggest Strengthened Governance for Bloomberg
News  |  8/22/2013  | 
Following its client data review, Bloomberg is getting to where it should have been all along in terms of compliance and auditing.
CloudMargin Unveils Collateral Management Platform for Buy Side
News  |  8/22/2013  | 
The London-based firm said its cloud-based OTC derivatives collateral management platform is a fraction of the cost of traditional systems.
Small Firms Facing Increased Regulatory Scrutiny
News  |  8/21/2013  | 
Regulators make small firms jump through the same data backup hoops as their larger peers.
How To Get Employees Engaged in the Compliance Process
Commentary  |  8/20/2013  | 
Increasing employee awareness and participation fuels greater involvement, better compliance and improved business results – the trick is to figure out how to keep them engaged.
Performance Measurement Investment To Increase 6.9%
News  |  8/19/2013  | 
Facing investor demands for greater transparency, asset managers will ramp up performance measurement spending through 2017.
Direct Edge Offers Advice to Brazil's CVM on Launching Competitive Exchanges
News  |  8/16/2013  | 
US exchange operator Direct Edge sent a letter to Brazilian regulator CVM as another step toward launching competition between multiple trading platforms.
How Can Firms Boost Efficiency and Reduce Risk in Corporate Actions?
Commentary  |  8/15/2013  | 
Minimizing costly errors with respect to voluntary events requires accurate tracking of deadlines and other key dates in corporate actions.
Hedge Funds Can Advertise, But Beware of European Investors
News  |  8/13/2013  | 
Hedge funds can now advertise. But before the media blitz begins, marketers must be wary of European exposure and tedious reporting requirements.
New Derivatives Exchange Targets Regulation
News  |  8/13/2013  | 
Co-founded by Hirander Misra and Vj Angelo, the new exchange, GMEX, will focus on taking advantage of tougher regulation and compliance.
JPMorgan’s London Whale Helping Feds for Possible Arrests
News  |  8/12/2013  | 
The trader behind JPMorgan’s leviathan trading fiasco is reportedly helping US authorities as they investigate two of the London Whale’s associates. Will it be handcuffs for cuff links soon?
Deutsche Boerse's Machine-Readible News Provider Lands in Hot Water
News  |  8/12/2013  | 
Concerns about fairness and violating media lockups surround Need to Know News, a data service for high speed traders.
SEC to JPMorgan, Jamie Dimon & The London Whale: Admit It Was Wrong!
News  |  8/9/2013  | 
As the regulator works on a settlement with JPMorgan's for its botched trades that lead to $6 billion in losses, the SEC's new sheriff removed one option from the table: Jamie Dimon and company cannot 'deny any wrongdoing.'
Avoiding Regulatory Arbitrage in FX
Commentary  |  8/8/2013  | 
FX swaps and forwards have been exempted from central clearing in the U.S. and Asia, while the EU is still debating regulatory harmonization.
Credit Suisse Onboards as First Clearing Firm with trueEX
News  |  8/6/2013  | 
Buy-side clients of Credit Suisse will gain access to trueEX's automated interest rate platform for compliance with new derivatives regulations.
Integral Files with CFTC to Launch Swap Execution Facility
News  |  8/5/2013  | 
As a natural extension of its FXGrid platform, Integral applied to launch a SEF in compliance with the Dodd-Frank derivatives reforms.
Big Data: No Replacement for the Financial Data Warehouse
Commentary  |  8/5/2013  | 
News of data warehouses’ demise is premature, argues Jonas Olsson. In fact, there is reason to believe the future for data warehouse is brighter than ever.
Hackers to Exchanges: You’re Next
News  |  8/2/2013  | 
US attorneys last week charged a Russian hacker with gaining access to the servers inside Nasdaq. For two years. The CIOs and IT staffers inside today’s exchanges now have to deal with the target on their backs.
Risk Technology Greatest Concern Amid Regulatory Crackdowns
News  |  8/2/2013  | 
With increasing crackdowns by the SEC and other regulatory bodies, expect risk management technologies to flood the market -- especially those that address complicated regulatory demands.
Compliance Technology Spending Continues To Increase
News  |  8/1/2013  | 
Compliance technology spending to increase by 35%, predicts Aite Group.

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