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News & Commentary
Content tagged with Compliance posted in April 2014
NY AG Secures Agreement with PR Newswire to Prevent Direct Data Access for HFT
News  |  4/30/2014  | 
News distributor PR Newswire has agreed to require customers to certify annually that the direct data feeds they receive will not be used for high frequency trading.
Why Securities Data is Master in The Race to FATCA Compliance
News  |  4/30/2014  | 
The July 1st deadline is fast approaching.
SEC Requests Financial Firms' Security Details
News  |  4/28/2014  | 
SEC asks 50 businesses for copies of their security policies, procedures, and controls in an effort to help the industry bolster cybersecurity protection.
High Frequency Debate Influences Survey on Stock Market Fairness
News  |  4/25/2014  | 
A survey conducted by ConvergEx Group found that 70% of participants believe the US equity market isn't fair to all participants.
SEC Eyes Potential Order Routing Disclosures
News  |  4/21/2014  | 
Requiring brokers to provide more transparency into their stock order routing practices would give investors more information on where their trades are being executed.
5 Things to Look For Before Accepting Terms & Conditions
Slideshows  |  4/13/2014  | 
Is your corporate data at risk? Before uploading sensitive information to cloud services be sure to review these terms.
Complex Order Types, Fragmentation And Dark Pools, Oh My!
News  |  4/10/2014  | 
Traders agree that market structure and some complex order types are not benefiting investors.
Fast and Furious: High Frequency Trading Raises Hackles
Commentary  |  4/10/2014  | 
Michael Lewis' new book "Flash Boys" has whipped up a furious tornado of criticism about high frequency trading. But the market and regulators need to resist the urge to ban the practice and instead embrace the notion of high frequency monitoring and surveillance.
The Great HFT Debate Is Yesterday's News
News  |  4/8/2014  | 
If you are still slogging it out over HFT, you are missing the point. The real debate is about market structure.
Are Banks on a Collision Course with Data Privacy Laws?
Commentary  |  4/8/2014  | 
International banks and other global private entities need to ensure that they do more than pay lip service to the data privacy laws of sovereign states, writes Andrew Waxman of IBM's consulting practice.
UBS Neo Helps the Buy Side Manage Complexity
News  |  4/2/2014  | 
UBS partnered with Lab 49 to develop Neo, a multi-asset platform that provides services to clients and routes to other venues.
Private Equity Warms to Funding Portals
News  |  4/1/2014  | 
Digital networks are using innovative technology to simplify private equity deal management for the middle market.
"Flash Boys" Triggers Debate: HFT and Fairness
News  |  4/1/2014  | 
Author Michael Lewis told "60 Minutes" that the computerized, high-frequency stock market is rigged, sending Wall Street into a tizzy.

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