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News & Commentary
Content tagged with Compliance posted in January 2012
Thomson Reuters' Mike Powell Discusses Cloud Adoption
News  |  1/31/2012  | 
While cost pressures are a driver, breaking into new markets is a priority for capital firms in 2012, explains Mike Powell, Thomson Reuters’ global head of hosting and managed services.
STOCK Act Hits Delay in House
Commentary  |  1/31/2012  | 
Congressional Insider Trading Ban May Become Law This Year
Commentary  |  1/26/2012  | 
Considering some of the comments made by Republicans and Democrats following President Obama's address to the nation, it appears lawmakers are prepared to outlaw this unethical practice, even as Washington remains gridlocked on most other issues.
Could Market Volatility Be Hiding a Flash Crash?
News  |  1/25/2012  | 
Market volatility is not the same as a Flash Crash, Instinet's Alison Crosthwait says.
Failure to Arbitrate Nets Merrill Lynch $1 Million Fine
News  |  1/25/2012  | 
The Financial Industry Regulatory Authority said it fined Merrill Lynch $1 million for failing to arbitrate disputes with employees over retention bonuses that were tied to its 2009 merger with Bank of America.
Will SEFs Increase Market Fragmentation?
News  |  1/25/2012  | 
Some firms see opportunities in electronic trading, while others express concerns about liquidity fragmenting across swap execution facilities, according to executives at TabbForum event.
The Hedge Funds in Romney's Returns
Commentary  |  1/24/2012  | 
GOP Debate: Kill Dodd-Frank!
Commentary  |  1/24/2012  | 
The SOPA Saga: The End Is Just the Beginning
Commentary  |  1/23/2012  | 
With SOPA off the table, Congress still has to try to protect intellectual property in the digital age.
The Rise of Cloud Computing on Wall Street
News  |  1/23/2012  | 
Looking to cut their capital expenditures on servers and applications, financial services firms are warming up to private clouds run outside their firewalls.
Diamondback Settles Insider-Trade Charges
News  |  1/23/2012  | 
SOPA: Stop Grandstanding, Start Crafting An Alternative
News  |  1/23/2012  | 
If Congress is so clueless about Internet dynamics, it's up to SOPA opponents to create a workable alternative for stopping online content piracy.
How the Government Flips Insider Trading Witnesses
Commentary  |  1/20/2012  | 
An F.B.I. agent has persuaded Wall Street suspects to collect evidence against their business colleagues or friends, playing a key role in the government's insider trader investigations.
Pipeline Transforms Itself into Aritas
Commentary  |  1/19/2012  | 
Yesterday, the former Pipeline Trading Systems said it's new name is Aritas, citing many changes, including product updates and leadership, it's made since it reached a settlement with the SEC.
TeraExchange Hires Former Regulator with Derivatives Expertise
News  |  1/19/2012  | 
TeraExchange appointed Marti Tirinnanzi as SVP of business development to help government entities benefit from upcoming derivatives reforms.
Futures SROs Review Customer Segregation In Light of MF Global
News  |  1/18/2012  | 
CME, ICE, NFA and other futtures industry self regulatory organizations formed a committee to review how SROs can strengthen existing safeguards for customer segregated funds.
DVD Review: Margin Call
Commentary  |  1/18/2012  | 
Are Exchange Order Fees the Best Way to Regulate High-Frequency Trading?
Commentary  |  1/17/2012  | 
When it comes to oversight of high-frequency trading, regulators should focus on simplicity, access and competition, according to Wayne Arden, former VP of sales for Nasdaq OMX’s Market Technology division, who says revamping the exchange order fee structure is a good place to start.
Bloomberg Vault Integrates with IBM Lotus Domino
News  |  1/17/2012  | 
With financial services firms facing pressure to reduce email archiving and compliance costs, Bloomberg Vault is using features in IBM's messaging and collaboration software to improve security and reliability as well as reduce the costs of cloud integration.
Fixing the Futures Market in the Wake of MF Global
Commentary  |  1/12/2012  | 
To restore investor faith in the futures market, the CFTC may need to do more than just update the rules that govern the investing of customer cash, says Larry Tabb, founder of Tabb Group.
IFS Taps Activ Financial's US Market Data for TCA
News  |  1/9/2012  | 
London-based firm will use Activ's US market data to analyze trade performance and best execution in North American markets.
Is a Shorter Trading Day the Cure for What Ails the Markets?
Commentary  |  1/5/2012  | 
Volume at the close is way up, and retail investors are nowhere to be seen. Sometimes a sick market needs strong medicine. In this case, it could be a one-hour trading day, says Tabb Group founder Larry Tabb.
HFT Firms Brace for a New, Bolder SEC
Commentary  |  1/5/2012  | 
The unfolding new year could see the arrival of a new, more powerful Securities and Exchange Commission. Now we’ll have to see how high-frequency-trading firms react, says editor-at-large Ivy Schmerken.
2012 Hedge Fund Outlook: Investors Expect Bright Year After Stormy 2011
News  |  1/5/2012  | 
Despite a difficult year in 2011, experts predict hedge fund assets should reach pre-crisis levels this year as investors bet big on the sector.
Swiss Central Banker Faces Insider Trading Allegations
Commentary  |  1/5/2012  | 
A weekly paper alleges that Switzerland's top central banker profited from currency trades, but are the charges the work of political enemies?
Fleeing Dodd-Frank, Hedge Funds Follow the Sun
Commentary  |  1/5/2012  | 
Poachers Turned Gamekeepers
Commentary  |  1/5/2012  | 
Eagle Asset Management Selects SimCorp for Investment Accounting and Reporting
News  |  1/4/2012  | 
Investment manager chooses SimCorp Dimension to replace legacy investment accounting, performance and client reporting systems.
Did Dodd-Frank Kill WJB Capital?
News  |  1/3/2012  | 
A trusted brokerage stops operations immediately and questions are raised.

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