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News & Commentary
Content tagged with Compliance posted in February 2011
Madoff's Calls From Jail
Commentary  |  2/28/2011  | 
The Ponzi scheme artist confesses his crime, but once again implicates the big banks and friends that fed him funds.
U.S. and European Brokers To Spend $206 Million In 2011 On New Surveillance Programs
News  |  2/24/2011  | 
Brokers must help fill the divide between the way markets operate and how they are surveilled, according to a new report from TABB Group.
Market Surveillance Spending to Soar: Tabb
News  |  2/24/2011  | 
LSE-TMX Merger Likely To Hit Regulatory Roadblocks
Commentary  |  2/23/2011  | 
How to Catch a Proprietary Trader
Commentary  |  2/22/2011  | 
How can regulators successfully distinguish proprietary trading from market making in a straightforward, easily understood way? Our answer would be to apply a general framework to evaluate trading using metrics that would indicate the possibility of proprietary trading.
LCH.Clearnet to Launch SwapsClear for US Clients on March 8
News  |  2/22/2011  | 
U.S. customers will access SwapsClear's service through a U.S. based futures commission merchant of their choice, supporting compliance with Dodd-Frank.
Budget Cuts Threaten to Bleed OTC Swaps Reform Dry
News  |  2/18/2011  | 
As regulators work to implement the most profound reform of the nation's financial system since the FDR administration, a looming budget cut threatens to slash their resources, even as the workload multiplies.
The Price of Hiding Quant Glitches
News  |  2/17/2011  | 
Hedge Funds, Banks Knew: Madoff
News  |  2/16/2011  | 
DTCC Launches Portal With CDS Data for Regulators
News  |  2/15/2011  | 
Offers regulators online access to global credit default swap data and tailored reports to protect against systemic risk.
Former Goldman Chairman Blasts NYSE-DB Merger
Commentary  |  2/14/2011  | 
Bloomberg supports the NYSE-Deutsche Borse merger, while Schumer cites managerial control and naming issue.
Wall Street Fights New Whistleblower Law
Commentary  |  2/11/2011  | 
The industry's lobbyists have mounted a furious behind-the-scenes effort to constrain the reach of the new protections laid out in the Dodd-Frank Act.
H.R. 4173 (Dodd-Frank): A Real 'Page Turner'
Commentary  |  2/10/2011  | 
The final version of Dodd-Frank, or Bill H.R. 4173, weighs in at 848 pages.
The End of an Era for the NYSE?
News  |  2/10/2011  | 
NYSE merger talks with Deutsche Borse are a sign of the waning influence of Wall Street and physical exchanges in global financial markets.
Juicy Details on Getting Rid of Insider Trading Evidence
Commentary  |  2/9/2011  | 
Destroying hard drives and dumping them in garbage trucks is one way to get rid of insider trading evidence.
Expect More Exchange Hacks: Expert
News  |  2/9/2011  | 
BT Launches Consultancy Service To Help Firms Meet Mobile Compliance Requirements
News  |  2/8/2011  | 
In November, all mobile communications made on UK financial institutions' fixed or mobile devices will need to be recorded and archived for at least six months.
Q&A with Kauffman Foundation Economist Robert Litan
News  |  2/8/2011  | 
If House Republicans succeed in their bid to slash non-defense spending by some $55 billion to $60 billion in fiscal 2011, reforms to the over-the-counter derivatives market might be dead-on-arrival.
Nasdaq's Hack Attack Shocker!
News  |  2/7/2011  | 
Opportunities Created By The Volcker Rule
News  |  2/7/2011  | 
While the rule that limits prop trading will depress earnings at some firms, it could create new opportunities for other market participants.
Madoff Trustee Says JP Morgan Execs Knew Of Fraud
News  |  2/4/2011  | 
Irving Picard filed a $6.4 billion lawsuit against JP Morgan in December. It was unsealed Thursday.
Close Ties: Bernie, Wilpon and The Mets
Commentary  |  2/3/2011  | 
The friendship between Mets' owner Fred Wilpon and Bernie Madoff entwined the ball club's finances with the con artist.
Hedge Funds Push Back on Disclosure
News  |  2/3/2011  | 
Large Players Worry About Dodd Frank Swap Regs
News  |  2/2/2011  | 
Goldman, BlackRock, Tradeweb and ICAP call for flexiibility in rulemaking process and correct sizing of block trades.
Welcome to the New Derivative Order
Commentary  |  2/1/2011  | 
Dodd-Frank's Impact on IT
News  |  2/1/2011  | 
The massive Dodd-Frank reform law will touch almost every business in financial services. For CIOs, the trick will be to leverage existing systems and rationalize data across the enterprise to meet intensified compliance demands while keeping costs in check.
SEC CIO Bayer Says Regulator Needs More Technology Funding
News  |  2/1/2011  | 
Without an increase to its meager $120 million IT budget, it will be difficult for the SEC to improve analytics technology.
Bloomberg Launches Real-Time Compliance With Bloomberg Vault
News  |  2/1/2011  | 
The solution integrates real-time monitoring, search analytics, and archiving of Bloomberg messaging and corporate email.
Can GRC Automation Tools Help Firms Gain Control Over Risk and Compliance?
News  |  2/1/2011  | 
As spreadsheets pile up and manual processes grow increasingly inefficient for managing governance, risk and compliance, automation tools are stepping out of the shadows to help.
CFTC Budget: An Unfunded Mandate Threatens Swaps Reform
Commentary  |  2/1/2011  | 
Is Wall Street lobbying the Republicans in Congress to defund the CFTC?

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