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Boutique Agency Broker Offers Lessons in Diversification Direct Access Trading Partners juggles multi-asset execution with alternative capital group, while complying with new trade reporting regs.
Q&A with Bart McDonough: The Cost of Compliance Agio Technology chief executive Bart McDonough explains which platforms companies are going to need to comply with new regulations and why these changes will cost more for smaller hedge funds.
American Portfolios Dives Into the Cloud American Portfolios begins its cloud journey with email archiving and compliance by LiveOffice.
Ex-Citi VP Charged With $19M 'Inside Job' A former vice president in Citi's treasury finance department was charged with embezzling after his arrest at JFK Airport.
Get FATCA Right With Smarter Use of Technology How can firms adapt their IT systems to meet the disclosure requirements imposed by FATCA without incurring excessive costs or disrupting the flow of business?
Private Fund Investors Now Part of Hedge Fund Registry: SEC SEC commissioners voted 3-2 yesterday to approve a Dodd-Frank Act measure calling for about 750 advisers to disclose "census-like data."
Janney Montgomery Scott Goes Live with BondDesk's New Retail Bond Platform BondDesk revamped the fixed income wealth management platform and will offer it to its largest customers.
BATS Europe /Chi-X Deal Referred to the Competition Commission Regulator reviews the proposed combination of BATS and Chi-X, which would reduce the number of venues trading U.K. equities.
Private Equity Firms Face the Glare of Dodd-Frank Investors placing their money into private equity funds want the data to come from audited systems.
ZL Technologies To Deliver its E-Discovery and Records Management Platform through the Cloud ZL Unified Archive is an integrated suite of applications that delivers solutions for e-discovery, compliance, records management and storage optimization.
Wall Street: The Cuts Are Coming Back The Street hasn't seen as dark a job picture since 2009.
Hedge Fund Lobby Targets Volcker Rule In an interview with Advanced Trading, the head of a global hedge fund lobbying group explains why regulators often work in tandem with lobbyists, why Goldman Sachs really isn't against the Volcker Rule, and what the hedge fund industry is looking to protect as the sweeping finance reform is phased in.
LinkedIn Compliance Enforcement Gets Easier For Financial Firms New application from Actiance Socialite eases conformity with federal regulations that require pre-approval of profile updates on social media.
Spanish MTF Chooses Cinnober As Tech Partner PAVE MTF will utllize Cinnober's TESS solution to gain market share in Spanish equities, which also helped launch Alpha Trading in Canada.
Amidst Regulatory Uncertainty, 73 Percent of Trading Execs Are Making Changes, Says Capco Report The report surveyed how U.S. and U.K.-based financial services firms are adapting to the emerging regulatory landscape in trading, risk, regulation and operations.
Financial Social Networking Site LinkedFA Partners With Thomson Reuters Users will be able to find and share industry news and market data.
Morgan Stanley Revamps Trading Platform Ahead of 'Naked Access' Ban The broker's Speedway 3.0 platform can perform pre-trade risk checks at sub-two microseconds.