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News & Commentary
Content tagged with Compliance posted in January 2010
SEC Asks Public Companies to Disclose Climate-Related Risks to Investors
News  |  1/29/2010  | 
Faith-based organization, ICCR, warns that compliance with SEC's guidance on climate risks will create "lag time."
Bain Capital Ventures Anticipates XBRL Boom With EDGAR Online Investment
News  |  1/29/2010  | 
$12 million stock purchase to help EDGAR grow and invest in technology for 2012 SEC XBRL deadline.
Prop Trading Ban Proposal: Desirability vs. Practicality
Commentary  |  1/28/2010  | 
How do you ensure that firms do not take proprietary positions? Do you require that the bonds be bought directly from a customer? If so, how do you police it?
Carbon Trading After Copenhagen: What About U.S. Legislation?
News  |  1/27/2010  | 
I went to a conference on "Carbon After Copenhagen" that was very interesting and points to an emerging asset class in the U.S.
Executive Bonuses: What Will Regulators Do Next? (video)
News  |  1/27/2010  | 
In this video clip, Larry Tabb, CEO and founder of TABB Group, focuses on potential regulations regarding executive compensation. He also tells WS&T's Greg MacSweeney that if U.S. regulators levy a tax on bonuses they could cause a brain drain, but that Wall Street must nevertheless show more sensitivity to the markets.
A Few Ideas For Obama On Financial Regulation (video)
News  |  1/25/2010  | 
WSJ's Jason Zweig discusses President Obama's plan to curb excessive risk taking at big banks, as well as his proposals for better financial regulation.
Obama Proposes Measures to Restrict Size and Activity of Major Banks
Commentary  |  1/25/2010  | 
Obama Proposes Measures to Restrict Size and Activity of Major Banks
Accounting for Stock Options Requires Comprehensive System, Says OptionEase CEO
News  |  1/21/2010  | 
OptionEase CEO Kim Kovacs says on-demand system can help companies comply with complex stock option accounting rules and avoid penalties.
Is the Bank Tax Unconstitutional?
News  |  1/19/2010  | 
Wall Street is getting ready for a legal battle over the proposed bank tax unveiled by President Obama last week and has hired a top litigator who has argued cases before the Supreme Court.
Guidance Software Releases Version 4 of E-Discovery Solution
News  |  1/19/2010  | 
New Version 4 expands EnCase eDiscovery to include early case assessment and first-pass review, delivered through a user-friendly web interface.
Bloomberg Launches VICON Interface into CDS Clearing Facilities
News  |  1/15/2010  | 
Provides first neutral interface that connects buy-and sell-side to two central clearing counterparties for OTC credit derivatives.
FaceTime and YellowJacket Partner on Integrated Message Compliance Solution
News  |  1/14/2010  | 
YellowJacket's IM transaction and interaction logs can now be seamlessly stored in FaceTime IMAuditor, which also archives messages from Reuters and Bloomberg, in addition to traffic from other instant messaging and unified communications platforms.
SEC Proposes Ban on Naked Access
News  |  1/13/2010  | 
The Securities and Exchange Commission voted unanimously today to propose a rule effectively banning naked access and requiring additional risk, compliance and regulatory measures for broker-dealers providing market access.
Bonus Backlash: M.I.T. Professor Proposes Windfall Tax
News  |  1/12/2010  | 
With Wall Street bonuses back in the headlines, Simon Johnson, a professor at M.I.T.'s Sloan School of Management, says it's wrong for too-big to fail banks to pay out all their profits to employees.
New Fees Could Take a Swipe at Bank Profits
News  |  1/12/2010  | 
The Obama administration is likely to slap banks with a fee designed to recoup losses associated with TARP, in a move that could help lower the deficit and reduce risk-taking by big banks.
Alpha Capture Systems Measure the Value of Sell-Side Trade Ideas
News  |  1/11/2010  | 
To drum up commissions, sell-side sales professionals increasingly are communicating trade ideas to buy-side clients via alpha capture systems such as youDevise's Trade Information Monitor, which provide performance metrics around the trade ideas.
Newedge Is First Foreign Broker to Get Korean Futures License
News  |  1/6/2010  | 
Newedge to offer all products listed on the Korea Exchange, including equities and derivatives, as of Jan. 4, 2010.

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