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News & Commentary
Content tagged with Compliance posted in February 2014
After the Mt. Gox Collapse, Wall Street is Wary of Bitcoin
News  |  2/28/2014  | 
In the wake of the Mt. Gox bankruptcy filing, Wall Street firms are unlikely to get involved in virtual currencies unless there is regulatory oversight.
4 Crucial Components of Social Media Strategy
Slideshows  |  2/28/2014  | 
Important lessons from The Practicing Law Institute's seminar, Social Media 2014: Addressing Corporate Risks.
How to Craft a Legal Social Media Policy for Employees
News  |  2/28/2014  | 
Organizations often have to consider a number of competing interests when crafting a legal and compliant social media policy.
Building AML Regulatory Platforms For The Big Data Era
Commentary  |  2/27/2014  | 
Big data technologies can help financial services firms comply with a myriad of regulations, including US anti-money laundering requirements.
SIP to Get Tech Upgrades, While Consultant Hired to Conduct RFPs
News  |  2/26/2014  | 
The UTP SIP committee unanimously approved technology enhancements for a key market data feed, and also hired Jordan & Jordan to conduct two RFPs to replace Nasdaq when its contract officially runs out.
ING Goes Social: Rolls Out LinkedIn for Advisors
News  |  2/24/2014  | 
Despite regulatory hurdles, ING will support preapproved and FINRA compliant LinkedIn profiles for its 2,400 advisors.
How Well Do We Really Understand Information Security?
News  |  2/20/2014  | 
Information security is very important, but most people think they know it and that's half the problem.
Down The Data Rabbit Hole With The CFTC
Commentary  |  2/18/2014  | 
If you drill down far enough, eventually you might find the truth when it comes to regulatory reporting, data and the goal of assessing systemic risk.
5 Technology Initiatives for the Buy-Side
News  |  2/13/2014  | 
It's time to cross items off the to-do list. Say goodbye to legacy systems and silos, focus on IBOR investment and critical IT system updates.
Asset Manager and Credit Suisse Execute First Sponsored-Access Trade with Goldman on Bloomberg SEF
News  |  2/12/2014  | 
In the run-up to the CFTC's mandatory trading deadline on SEFs, NISA Investment Advisors indicated that sponsored access is the preferred approach for accessing the swaps market.
U.S. Buy Side Focus Shifts to Investment Performance, Says Linedata Study
News  |  2/11/2014  | 
The trend is driven by the completion of post-crisis regulation deployments by U.S. asset managers while E.U. firms remain focused on implementing new regulations.
SEC Meter Maid Nabs 2 For Bad Parking
News  |  2/10/2014  | 
For smaller firms, recent "parking scheme" charges should be call to arms to enhance surveillance platforms.
The Regulatory Pressure Cooker: Compliance Moves into the Boardroom
Commentary  |  2/7/2014  | 
The impact of new regulations in financial services is threatening the ability of companies to grow, writes Jeffrey Wallis of SunGard Consulting Services.
Could SEF Aggregation be the Next Big Thing in Swaps?
News  |  2/7/2014  | 
With SEF trading becoming mandatory on Feb. 15 for certain interest-rate swaps and continues to evolve, industry watchers are waiting to see if SEF aggregation will emerge to help the buy side connect with multiple SEFs.
Liquid Bolsters Pre-Trade Compliance in Private Cloud-Based OEMRS
News  |  2/5/2014  | 
Hedge fund managers are demanding compliance aggregation and risk measurement tools to generate alpha and prove they have institutional quality controls.
Companies Are Banning E-mail to Improve Efficiency
News  |  2/5/2014  | 
Doing away with internal e-mail may not be as crazy as it sounds.
Traders Demand Mobility: BYOD And 2014 Other Trends
Commentary  |  2/5/2014  | 
New regulation affecting mobile devices has given banks an excellent impetus to include mobile recording in their overall compliance strategy.

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