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News & Commentary
Content tagged with Compliance posted in May 2011
French Banking Group Picks Quantifi for OTC Derivatives
News  |  5/31/2011  | 
CM 10-CIC went live with Quantifi XL's front-office pricing and analysis tool to support trading operations in flow and derivatives products.
Irving Picard Could Be Biggest Winner In Madoff Scandal
News  |  5/27/2011  | 
According to Bloomberg, Picard charges $5,803 for a day's work. And now 800 Madoff investors who are trying to recover the funds they lost in the sprawling Ponzi scheme, are understandably angry at the trustee's hefty pay day.
Einhorn Says "Let's Go Mets"
Commentary  |  5/26/2011  | 
A life-long fan, the hedge fund manager brings $200k and financial acumen to the cash-strapped team.
Quantifi's Survey: Industry to Overhaul Counterparty Risk Systems
News  |  5/26/2011  | 
Releases preliminary results claiming that all respondents plan to make changes in their counterparty risk systems.
SEC to Vote On Exactly How To Compensate Corporate Whistleblowers
News  |  5/25/2011  | 
The Dodd-Frank provision for whistleblowers was created in the aftermath of the Bernie Madoff scandal.
Who Should Run the IMF?
News  |  5/25/2011  | 
Sen. Grassley Pursues Wall Street Titan
Commentary  |  5/24/2011  | 
Why is a Congressman investigating Steven Cohen of SAC Capital?
Lime Brokerage To Provide Pre-Trade Risk Controls via BT Radianz
News  |  5/24/2011  | 
Lime leverages BT's financial cloud to offer pre-trade risk solutions to other brokers facing compliance with SEC's Market Access Rule in July.
Too Big to Fail: The AT Review
News  |  5/24/2011  | 
On Wall Street, Social Media Needs To Be A Leap Of Faith
Commentary  |  5/23/2011  | 
Many banks still forbid their employees from using Facebook, Twitter or any other social media tools.
Global Coordinated Regulatory Reform For OTC Derivatives Is Creating A New Interest Rate Swap Market
News  |  5/20/2011  | 
Alternative methods of managing exposure will see greater adoption due to regulatory reform, according to a new report from TABB Group.
Direct Edge Hires Chief Compliance and Regulatory Officer
News  |  5/19/2011  | 
Exchange Operator taps Thomas McManus from Barclays Capital where he is head of compliance, Americas.
High-Frequency Trading and the Blind Scales of Justice
Commentary  |  5/17/2011  | 
The Justice Department and SEC's joint investigation into high-frequency trading could be just what the industry needs, writes special contributing editor Larry Tabb.
Step By Step: How Hedge Funds Must Navigate the New Landscape
Commentary  |  5/17/2011  | 
Step One: Get friends to loan you $500 million. Step Two: Find high-net-worth clients. Step Three is a little trickier. Thanks to the financial collapse a few years ago, the new buzzword is "transparency."
The SEC Registration Survival Guide
News  |  5/16/2011  | 
As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, most hedge funds have to register with the SEC by July 2011. Here’s everything funds need to know about registration and how to remain in compliance with SEC rules.
Raj Will Run, Predict Hedge Fund Managers
Commentary  |  5/13/2011  | 
Those attending the Skybridge alternative investments conference in LasVegas, told CNBC that Raj Rajaratnam will flee the U.S, to escape a 20-year jail term.
Cohen: Fund Takes Compliance Seriously
News  |  5/12/2011  | 
The SEC Deadline Dawdle
News  |  5/11/2011  | 
A lawyer who works with hedge funds says some firms are dragging their feet when it comes to registering with the SEC. And they're only hurting themselves.
Fallout of the Flash Crash - One Year On
News  |  5/6/2011  | 
While the nation's top securities regulator contends there's no foolproof way to prevent a repeat of last year's "Flash Crash," experts argue the chances of a sequel are remote thanks to the safeguards put in place in its aftermath.
LexisNexis And Recommind Form Strategic E-Discovery Alliance
News  |  5/6/2011  | 
Through its hosted litigation solutions group, LexisNexis provides a service litigation offering which includes a hosted approach to managing discovery and pre-discovery documents that now offers access to Recommind's Axcelerate On-Demand.
SIFMA Throws Support Behind Dodd-Frank Deadline Extension
News  |  5/5/2011  | 
The Securities Industry and Financial Markets Association called for an extension of the July 21 deadline for new derivatives rules, arguing regulators don't have enough time to consider critical issues in the transformation of the swaps market.
The (Cloud) Tipping Point
Commentary  |  5/5/2011  | 
Trusted financial services vendors are grabbing the cloud market away from the Amazons and Googles of the cloud world.

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