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News & Commentary
Content tagged with Compliance posted in October 2011
Four Investment Banks Go Live with AcadiaSoft
News  |  10/31/2011  | 
Deutsche Bank, Goldman Sachs, HSBC and J.P. Morgan are using AcadiaSoft's online community for margin automation in the OTC derivatives market.
TeraExchange to Launch New Market for OTC Derivatives
News  |  10/28/2011  | 
New trading venture will offer a central limit order book for swaps and OTC cleared derivatives in Q4 2011.
Applauding Occupy Wall Street
Commentary  |  10/28/2011  | 
The Occupy Wall Street movement should be commended for reminding Americans of the country's intimate history with public protest. However, the movement itself needs some refining.
Bernie Madoff Reveals The Worst Part of Prison
News  |  10/27/2011  | 
Bernie revealed what keeps him up at night: And it's not, as you might think -- or hope -- his victims.
Ruth Madoff's Suicide Attempt
Commentary  |  10/27/2011  | 
Larry Tabb’s 2012 Financial Markets Forecast: Antacid — And Plenty of It
Commentary  |  10/26/2011  | 
The markets are in a state of shock. And all of the new rules coming in 2012 will only make it more difficult and more expensive for all financial markets participants.
For RIAs, Successful Dodd-Frank Compliance Must Start Now
Commentary  |  10/26/2011  | 
With new Dodd-Frank Act rules looming, registered investment advisers must make certain that their IT supports new regulatory compliance requirements, according to Ernst & Young’s Cynthia Doe and Daniel New.
Arrest Of Former Goldman Exec Could Lead To More Juicy Wall Street Revelations
News  |  10/26/2011  | 
Gupta was saved the humiliation of a perp walk, which could be far from incidental.
High-Frequency Trading to Blame for Market Volatility? 
Commentary  |  10/24/2011  | 
As the markets continue their wild gyrations, regulators continue to struggle with high-frequency trading's role in the volatility and with how to stabilize the markets.
Q&A with Quant Expert Paul Wilmott: The Fundamental Flaw of Nearly All Risk Models
News  |  10/24/2011  | 
Quant expert Paul Wilmott tells Advanced Trading that Wall Street's risk models share a fundamental flaw, and that traders are all too happy to ignore their true risk exposure in search of profits.
Proposed Taxes on High-Frequency Trading Won't Become Law
Commentary  |  10/24/2011  | 
High-frequency trading has become quite the punching bag for overseas governing bodies in recent months, but for the time being it appears that those who rely on it may escape being taxed for it.
BATS' Acquisition of Chi-X Europe Clears UK Regulator
News  |  10/20/2011  | 
The UK Competition Commission provisionally concluded that customers have the power to prevent the merged company from raising trading fees or worseing service.
Hedge Funds Wake Up to Transparency
Commentary  |  10/19/2011  | 
The veil of secrecy has caused a problem for hedge funds and led to Dodd Frank, says an AT Summit panelist.
Insider Raj Gets 'Light' 11-Year Sentence
Commentary  |  10/13/2011  | 
Raj Rajaratnam, the former head of the Galleon Group hedge fund, was just hit with the longest sentence ever doled out for insider trading, but his penalty still pales in comparison to those of recent high-profile Wall Street criminals.
It's Not A Good Time To Be An Insider Trader
News  |  10/13/2011  | 
New investigative techniques and less lenient judges mean life (behind bars) is tougher than ever before for insider traders.
Wall Street Employees Expect Bonuses To Shrink, But Not Just Yet
News  |  10/10/2011  | 
The results of a survey that could delight Occupy Wall Street protesters are in.
EU Tax on Speed Trading Will Harm Investors – Experts
News  |  10/10/2011  | 
A proposed tax on financial transactions by European regulators will severely hurt high-frequency traders and ultimately harm all investors and market makers in the process, industry experts tell Advanced Trading.
Wall Street Witnesses Its Most Costly Leak Ever
News  |  10/7/2011  | 
Billions of dollars are at stake for big banks in the Volcker Rule, a draft of which has been leaked.
Top 10 Occupy Wall Street Protest Signs
Slideshows  |  10/6/2011  | 
Advanced Trading snapped photos of its favorite homemade protest signs while reporting from the Occupy Wall Street event in lower Manhattan.
Insider Fraud: Watch Out, Your Bank Could Be The Next One To Lose Billions
News  |  10/4/2011  | 
Worryingly, once an incident has occurred, it takes organizations an average of 89 days to discover it.
Occupy Wall Street Protest: Our Readers React
Commentary  |  10/4/2011  | 
WS&T readers have some strong opinions on the matter of executive compensation.
Michael Lewis’ Boomerang Sees Frightening Future for Global Finance
Commentary  |  10/4/2011  | 
Lewis’ latest effort picks up where the global financial crisis of 2008 left off, with indebted governments facing their own days of reckoning after years of irresponsible borrowing and spending.
Occupy Wall Street Gains Steam Without Clear Agenda
Commentary  |  10/3/2011  | 
Although it remains unclear what the protesters are looking to gain from all of this, at the heart of the movement lays the widening gap between rich and poor, and the persistent joblessness that has played out since the crash of the global markets in 2008.
Occupy Wall Street: Do The Protesters Actually Have a Point?
Commentary  |  10/3/2011  | 
The Occupy Wall Street protest, which has been going on for two weeks, is now rapidly gaining steam and publicity.
Tradeweb's Interest-Rate Swaps Volume Surges 90 Percent
News  |  10/3/2011  | 
Electronic trading activity spiked, as clients began to prepare for regulatory compliance, say Tradeweb.

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