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News & Commentary
Content tagged with Compliance posted in December 2011
2011: A Year of Rogues and Regs
Commentary  |  12/20/2011  | 
Like the angel and devil that sit on your shoulders the two most important themes from 2011 boil down to "being rogue" and "being regulated."
CFTC Maneuvers Between Banks and Regulators
Commentary  |  12/20/2011  | 
MF Global: Sifting Through the Ashes
News  |  12/14/2011  | 
After the spectacular implosion of Jon Corzine's brokerage firm, regulators are trying to sort out what happened as investors try to recoup their money.
CME Exec Drops Bombshell that Corzine Knew About Customer Fund Transfers
Commentary  |  12/14/2011  | 
The executive chairman of the CME told lawmakers that MF Global borrowed $175 million from customer accounts and implied that its former CEO Jon Corzine knew about it.
Tradeweb Introduces Three-Way Trade Confirmation on U.S. Tri-Party Repo Trading Platform
News  |  12/12/2011  | 
The functionality allows all parties to a three-way trade to confirm transactions with each other prior to executing the trade.
LSE Snaps Up Pearson's FTSE Stake
News  |  12/12/2011  | 
Corzine: Hands-Off CEO?
News  |  12/9/2011  | 
Testifying on Capitol Hill, MF Global's ex-CEO Jon Corzine told lawmakers that he didn't break any rules and didn't know who pressed the button to move the customer money out of segregated accounts.
10 Takeaways from Corzine's Testimony
News  |  12/8/2011  | 
MF Global's ex-CEO Jon Corzine will tell Congress that the collapsed brokerage firm operated within its risk limits until its bankruptcy filing and that he "simply" doesn't know where the money is.
Markit Launches Fair Value Service for U.S Mutual Funds
News  |  12/8/2011  | 
The methodology uses the statistical relationship between bond prices and over 30 different market, entity-specific and momentum factors to adjust value at the individual bond level.
Regulators Move To Replace Much-Criticized Credit Rating Agencies
News  |  12/7/2011  | 
The proposal by the Federal Deposit Insurance Corp., Federal Reserve and Office of the Comptroller of the Currency is a long awaited response to Dodd-Frank.
With MF Global Rule, Regs Finally Take One Small Step In Right Direction
Commentary  |  12/6/2011  | 
In so far as it increases transparency into how funds are handled, it is a positive step -- but regs still have much more to do.
European Operetta?
Commentary  |  12/6/2011  | 
The OPRA feed consumes more bandwidth than any other market data feed in the world and experiences peak traffic bursts that dwarf comparable rates of throughput in European options data feeds.
Regs Crack The Whip On Wall Street Risk-Taking With New "MF Global" Rule
News  |  12/5/2011  | 
The rule had been approved months ago but was delayed due to strong opposition from none other than Jon Corzine, the disgraced former CEO of MF Global.
Progress Software Sees Rogue Algo Havoc, Occupy HFT in 2012
News  |  12/1/2011  | 
Progress said it expects an algorithm somewhere to go into an infinite loop, taking on an un-hedged and irreversible position that some firm will be powerless to shut down, causing unprecedented damage.

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