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News & Commentary
Content tagged with Compliance posted in August 2009
Omgeo Receives SEC No-Action Letter for TradeSuite Confirm Archive
News  |  8/24/2009  | 
Clients can now outsource trade confirmation recordkeeping.
UBS Settlement Could Unlock Bank Secrecy
News  |  8/20/2009  | 
An agreement reached between the U.S. and Switzerland over secret American accounts held at the Swiss bank UBS may open the way for revelations of tax evasion at other banks.
Seth Merrin Examines the Pros and Cons of High Frequency Trading
News  |  8/19/2009  | 
High frequency trading adds a lot of liquidity, but institutions need to opt-in to that, says Liquidnet's Seth Merrin.
Thomson Reuters Beefs Up Post-Trade Transaction Analytics with Nasdaq Market Replay
News  |  8/17/2009  | 
Integration of two products will provide trading desks and compliance officers with in-depth best execution reports and exception monitoring.
Ernst & Young’s Financial Services Office Forms IT Advisory Services Group
News  |  8/12/2009  | 
John Weisel to lead group in helping financial firms manage IT strategy amid economic and regulatory change.
Citi Treasury Analytics Enhances Reporting for Mark-to-Market Accounting
News  |  8/11/2009  | 
New functionality increases transparency and addresses FAS 115-2 for securities.
Aite Group Comments on Potential Flash Order Ban
Commentary  |  8/5/2009  | 
Aite Group Comments on Potential Flash Order Ban
Inside the Obama Administration's Road Map for Financial Regulatory Reform
News  |  8/4/2009  | 
The Obama plan would turn the Fed into a systemic risk regulator, push derivatives onto electronic platforms and force hedge funds to register with the SEC.
Deutsche Bank Securities Invests in Compliance Tools to Prepare for Fiduciary Standard
News  |  8/4/2009  | 
Obama regulatory overhaul could give brokers the same fiduciary standard as investment advisers, and firms such as Deutsche Bank Securities are bracing for the challenge.
Schumer Announces That SEC Plans to Ban Flash Orders
News  |  8/4/2009  | 
In personal call with Schumer, SEC Chair Schapiro pledges that a ban flash orders is imminent. Schumer, having urged SEC to curtail flash orders in letter last month, praises move.
Agiliance and PricewaterhouseCoopers Team Up to Automate GRC Processes
News  |  8/3/2009  | 
Agiliance and PwC are leveraging the synergy of the PwC domain experience in GRC, internal controls, and information security consulting services and Agiliance's technology for the open, scalable delivery of GRC automation.
Big Banks Face Further Scrutiny
News  |  8/3/2009  | 
The worst may not yet be over for some of America's biggest banks. Some of the country's biggest lenders, including Goldman Sachs, have been subpoenaed by a Senate committee as part of a fraud investigation.
New Rules Would Rein in Derivatives
News  |  8/3/2009  | 
Democrats are working on a bill that would force most credit-default swaps onto exchanges where they can be monitored by the government.

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