Content tagged with Compliance posted in June 2014
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Fraud Charges Against Barclays Rock the Dark Pool World
New York State's lawsuit alleges that Barclays marketed the safeguards of its surveillance system to buy-side customers but actually favored high-frequency traders in its dark pool.
Is Compliance Preventing the Cloud From Reaching Its True Potential?
86% of businesses admit issues around data protection, legislation, and regulation are responsible for their slow adoption of cloud computing.
The SEC & Cybersecurity: Expectations & Exam Prep for Investment Firms
The current SEC questionnaire asks firms for details about their technology infrastructure, operational policies, and procedures as they relate to cybersecurity.
Debate Over Conflicts of Interest in Equity Markets Rages On
Last week's Senate hearing explored conflicts of interest faced by brokers that receive payment for order flow and rebates for routing orders to certain trading venues, but many experts warned against immediate change.
Higher Demand for Market Data in Compliance Investigations
An emerging trend of risk-and-compliance officers requesting specific blocks of market data suggests new opportunity for information providers.
What Really Matters When Transparency & Stability Matter in Markets
The high-frequency trading debate carries on, but are the right questions being asked? Scrutiny of incentives and defining 'fair' competition should merit more attention.
Consider Yourself Served: The Rules Haven’t Changed, But Technology Has
Eight to 10 individual employee lawsuits have been dismissed for failure to preserve Facebook and other social media, text messages, email, and other records connected to the case.
The Dawn of High-Frequency Compliance: Will You Win the White-Hat Arms Race?
Don't look now: The SEC is actively increasing IT spend and quant recruitment to enhance forensics in financial management systems. The implications for the financial services industry are enormous.
Where Are We Now? The Era of Trade Surveillance Automation
"For the first time compliance and surveillance people are demanding access to data instead of running away in fear from it."
SEC Charges Against Wedbush Securites Raise Issues With Direct Risk Controls
The regulator accused Wedbush of violating the Market Access Rule by allowing customers to set their own risk controls on proprietary and third-party platforms.
The FX Debacle: Another Failure in Compliance Controls
The manipulations in the FX markets show that self regulation will only go so far and that dealers will have to vastly improve existing compliance technology.
Compendia: New Mobile Collaboration App Sets Sights on NYC
Rebelling against Apple's famous "there's an app for that" mantra, enterprises are looking to combine functionalists in fewer and more secure mobile platforms. Can Compendia be a big part of the solution?
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Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.
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