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News & Commentary
Content tagged with Compliance posted in February 2012
Are the Markets Just Too Fast?
Commentary  |  2/29/2012  | 
Regulators including the SEC and the CFTC are struggling to keep up with and keep a grip on the warp-speed world of high-frequency trading -- and they are considering some severe measures as they struggle to understand just what HFT is.
Feds Investigating Goldman Sachs Managing Director for Insider Trading
News  |  2/29/2012  | 
Authorities are probing whether David Loeb gave Goldman's hedge fund clients inside information about technology stocks, according to a Wall Street Journal report.
Regulators Contemplate Slamming the Brakes on High-Frequency Trading
News  |  2/29/2012  | 
As high-frequency traders achieve blinding speeds, the SEC is taking a long, hard look at whether they are dangerously out of control.
Swap Trades Will Be More Pricey, Complicated Under Dodd-Frank
News  |  2/28/2012  | 
Although the shadowy world of derivatives trading will become more transparent under the new regulations, experts say the market also will fragment, making things more complicated — and expensive — for participants.
TradeKing Automates Social Media Surveillance
News  |  2/28/2012  | 
With usage of Facebook and Twitter on the rise, online broker TradeKing went live with SunGard's Protegent to monitor employees' social media activity.
Feds Giving Hedge Funds The Mob Treatment to Fight Insider Trading
Commentary  |  2/28/2012  | 
The FBI says it has enough informants to bring insider trading cases to trial for the next five years, a tactic that helped decimate the so-called mafia in the 1990s.
Credit Default Swaps Are Not 'Evil'
Commentary  |  2/28/2012  | 
It's time to take CDSs off the list of investment instruments of which we dare not speak.
Why Launching a Hedge Fund Is Harder Than Ever
News  |  2/28/2012  | 
Although hedge fund launches are expected to soar in 2012, getting one off the ground is much more difficult — and expensive — than ever before thanks to regulatory pressures, savvier investors and the cost of technology.
Moving to a Centralized Collateral Management Environment: The Way Forward
Commentary  |  2/27/2012  | 
Firms can centralize their collateral management processes by using tactical solutions that will work not only in the short term, but that will also give them the tools necessary to comply with future regulations and embrace new technologies as they become available.
Redline Trading Announces Pre-Trade Risk Solution
News  |  2/27/2012  | 
Aimed at latency sensitive applications, Redline's Pre-Trade Risk Solution performs a comprehensive series of risk checks in less than one microsecond to help firms comply with the SEC's 15c-3 Market Access Rule.
Slashing Risk of OTC Derivatives
News  |  2/23/2012  | 
What Is HFT Exactly?
Commentary  |  2/23/2012  | 
SEC Expands Investigation of ETFs: Report
Commentary  |  2/22/2012  | 
The wider probe of ETFs comes after a trade in a large, liquid ETF didn't settle within a four-day period and the SEC is examining what role high-frequency trading plays in such situations, according to Reuters.
Swaps Regs Up the Ante on Collateral Management
Commentary  |  2/21/2012  | 
To cope with new swaps regulations, Kempen Capital Management scrapped its Excel spreadsheets in favor of an iinhouse collateral management system.
Lombard Risk Offers Solution for OTC Swaps Data Reporting
News  |  2/21/2012  | 
The risk management technology worked closely with U.S. clients to design a solution for OTC swaps data reporting under Dodd-Frank as of July 2012, but is eyeing European regulations with similar requirements by 2013.
Exchange Suitors Circle LME, But Deal Could Turn on Regulators and Clearing
Commentary  |  2/17/2012  | 
A bunch of global exchanges, including the likes of CME and NYSE Euronext, are said to be submitting bids to acquire the London Metals Exchange, one of the last pit-based exchanges still standing.
The Daily Show Roasts DC's Insider Trading
News  |  2/16/2012  | 
Preparing for Margin Call Mania In Cleared Swaps
Commentary  |  2/15/2012  | 
The regulatory push toward central clearing of OTC derivatives is going to create higher volumes of margin calls on cleared swaps for buy and sell sides. Manual emails will no longer suffice!
Poland's CCP Choose Nasdaq OMX's Sentinel Solution
News  |  2/13/2012  | 
KDPW_CCP, Poland's leading securities clearing house and central counterparty, has selected Nasdaq OMX to deliver its OTC derivatives clearing and risk management product.
Do Smaller Paychecks for Bankers Mean Occupy Wall Street Won?
Commentary  |  2/8/2012  | 
A combination of regulation, weaker revenues, and political pressure in various countries has led to lower paychecks on Wall Street.
MF Global's Computers Overwhelmed In Final Days
News  |  2/7/2012  | 
MF Global's computer systems couldn't keep up with the unprecedented volumes of transactions during its final days, according to a trustee's report, noting that some were never recorded.
NYSE/DB: Why Brussels Got It Wrong
Commentary  |  2/7/2012  | 
Malaysia's RHB Banking Group Deploys FX Options System
News  |  2/7/2012  | 
The fourth largest integrated banking group in Malaysia chose the latest version of GFI Group's Fenics Professional with a broad range of tools for their FX derivatives business.
4 Steps to Help Securitizers Comply With Dodd-Frank’s New Reporting Requirements
News  |  2/2/2012  | 
Ready or not, the Dodd-Frank Section 943 deadline looms for securitizers, which will need to make changes to their organizations and technology in order to comply with the new reporting requirements.
"Little Child" CFTC Aims To Define High-Frequency Trading
News  |  2/1/2012  | 
CFTC Commisioner Scott O'Malia also says the agency neglected the futures market to focus on writing rules for swaps trading, suggesting this may have caused it to miss MF Global's warning signs.

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