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News & Commentary
Content tagged with Compliance posted in December 2010
SEC Fines Hedge Fund for Self-Dealing
News  |  12/23/2010  | 
The fund has been ordered to pay $1.2 million for car-loan investments.
CFTC Appoints "Flash Crash" Expert As Chief Economist
News  |  12/22/2010  | 
The top U.S. futures regulator has tapped Dr. Andrei Kirilenko to advise it on dealing with high frequency and algorithmic trading.
Bonus Blues: Meet the Zeros
Commentary  |  12/22/2010  | 
To boost profits and curb the risk-taking, some Wall Street firms are giving nothing but zeros to mid level traders and back-office staff.
Meet the Less-threatening Hedge Fund
News  |  12/21/2010  | 
Ernst & Young Subject to Fraud Lawsuit
Commentary  |  12/20/2010  | 
DTCC Launches Enhanced Cost Basis Reporting Service
News  |  12/20/2010  | 
The service acts as a central communications hub for transmitting cost basis information among broker/dealers, transfer agents, issuers, mutual funds and custodian banks.
Will Dodd-Frank Be DOA With GOP Congress? Don’t Bet on It
Commentary  |  12/16/2010  | 
Dodd-Frank, and particularly the Volcker Rule, are just as much alive as they day the Act was signed into law and we expect it will have some "teeth" in efforts to curtail systemic risk.
News  |  12/16/2010  | 
The largest exchange company broadens its offerings into risk management
Bonus Round: A 90 Percent Tax?!
Commentary  |  12/10/2010  | 
If any US bankers are still licking their wounds from the insults they received since the Crash of 2008, perhaps they should shed a tear for their brothers and sisters in Ireland.
2011: The Year Of Dodd-Frank
Commentary  |  12/9/2010  | 
After two years of uncertainty, everyone is looking forward to a year of steady progress and growth.
EU to Shine Light on Dark Pools
News  |  12/8/2010  | 
Buy Side Firms Face Scrutiny in Expert Network Probe
Commentary  |  12/7/2010  | 
Expert research networks are being accused of passing non-public material information to hedge funds and mutual fund companies.
New Formula May Stop Flash Crashes in Their Tracks
Commentary  |  12/3/2010  | 
Maybe all the SEC has to do is step out of the way and let the professors who claim to have devised a formula that can stop market freefalls solve the problem.
Diamondback Portfolio Manager on Leave
News  |  12/2/2010  | 
The hedge fund told clients it was subject to an FBI raid but focus is on research analyst.
MarkitSERV Provides Gateway for Central Clearing Via SGX and CME Clearing
News  |  12/1/2010  | 
Offers connectivity to each of the six major CCPs currently accepting OTC derivatives trades.
WikiLeaks Guessing Game Jostles BofA
Commentary  |  12/1/2010  | 
Bank of America's stock dipped three percent yesterday in the wake of news that it might be the focus of a WikiLeaks expose in the months to come.
State Street Set to Cut 1,400 Jobs
News  |  12/1/2010  | 
The third-largest custody bank will cut staff by 5 percent and trim real estate costs.

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