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News & Commentary
Content tagged with Compliance posted in June 2011
Hedge Fund Registration: Yay for Delay
News  |  6/29/2011  | 
Bank of America Takes the $8.5B Haircut
News  |  6/29/2011  | 
Boutique Agency Broker Offers Lessons in Diversification
Commentary  |  6/28/2011  | 
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
News  |  6/27/2011  | 
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
News  |  6/27/2011  | 
American Portfolios begins its cloud journey with email archiving and compliance by LiveOffice.
Ease The Way for Smaller IPOs
News  |  6/27/2011  | 
Ex-Citi VP Charged With $19M 'Inside Job'
News  |  6/27/2011  | 
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
News  |  6/27/2011  | 
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
News  |  6/23/2011  | 
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
News  |  6/23/2011  | 
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
News  |  6/20/2011  | 
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
Commentary  |  6/17/2011  | 
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
News  |  6/17/2011  | 
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
Commentary  |  6/17/2011  | 
The Street hasn't seen as dark a job picture since 2009.
Flash Crash Forensics Fly at Tabb Forum
News  |  6/14/2011  | 
Hedge Fund Lobby Targets Volcker Rule
News  |  6/9/2011  | 
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
News  |  6/8/2011  | 
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
News  |  6/7/2011  | 
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
News  |  6/3/2011  | 
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
News  |  6/3/2011  | 
Users will be able to find and share industry news and market data.
Morgan Stanley Revamps Trading Platform Ahead of 'Naked Access' Ban
News  |  6/2/2011  | 
The broker's Speedway 3.0 platform can perform pre-trade risk checks at sub-two microseconds.

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