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News & Commentary
Content tagged with Compliance posted in July 2011
Hedging a Government Default
News  |  7/29/2011  | 
Hedge Fund Bigs Close Shop Ahead of New Regulation
Commentary  |  7/27/2011  | 
Hedge fund tycoons Stanley Druckenmiller, Carl Icahn, and George Soros have no interest in having their investment pools watched over by regulators or subjected to additional taxes.
10 Things Every Trader Needs to Know About the Changing Regulatory Landscape
News  |  7/26/2011  | 
The biggest change in more than 75 years is about to hit the buy side in the form of the Dodd-Frank Wall Street Reform Act. Here's what you need to know to prevent the new regulations from causing you trouble.
Lobbyists Assume Control of Shaping Dodd-Frank
Commentary  |  7/26/2011  | 
Opponents of the Dodd-Frank bill lost a big battle when the law passed nearly a year ago, but they're apparently winning the war to shape the new regulations as they see fit.
The Brave New World Of Banking Technology
Commentary  |  7/25/2011  | 
Increasing regulation will dampen profits, drive cost cutting and push banks into shared IT environments.
Hedge Funds to Chris Christie: "Just Run Baby!"
Commentary  |  7/21/2011  | 
Despite his repeated demurrals, New Jersey Governor Chris Christie continues to be the candidate of choice for many within the hedge fund industry.
Hedge Funds To Pounce on US Debt
News  |  7/21/2011  | 
How Not to Repair Your Damaged Brand: The BofA Edition
Commentary  |  7/19/2011  | 
On Tuesday news broke that the beleaguered bank sent $30,000 in social security payments to the wrong person
Toughest Job In The Financial Industry?
Commentary  |  7/19/2011  | 
While many a financial executive might have quietly muttered their dislike of regulators, it has now emerged that these much maligned officials have had to deal with much more than a few grumbles.
Buy-Side Firms' Systems Not Prepared for Dodd-Frank, Says Study
News  |  7/18/2011  | 
A large majority of buy-side firms' systems are not prepared for compliance with the Dodd-Frank provisions for central clearing of OTC derivatives, according to a study from SimCorp.
Insider Trading Can Fly Under the Radar
Commentary  |  7/18/2011  | 
Hedge funds need to install monitoring systems to plug gaps in internal controls, says technology executive.
ICE Trust Gears Up for Dodd-Frank Oversight
News  |  7/15/2011  | 
ICE Trust, the IntercontinentalExchange's North American credit default swap clearinghouse, announced that it will complete its transition to a regulated derivatives clearing organization on July 16.
SEC and CFTC Still Working on Specific Dodd-Frank Rules
News  |  7/15/2011  | 
Over 50 Commodities Futures Trading Commission rules need to be completed and refined, says CFTC commissioner Bart Chilton.
Bloomberg Vault Integrates with Microsoft 365 Cloud Solution
News  |  7/14/2011  | 
The alliance will help financial services firms meet record retention and e-discovery guidelines.
Another Summer, Another Crisis
News  |  7/14/2011  | 
Inside Traders Probably Don't Plan Their Crimes Over the Phone Anymore
Commentary  |  7/13/2011  | 
A tactic once known mainly for taking down mafia crime families such as John Gotti’s Gambino syndicate - and drug dealers like the fictional Barksdale crew on The Wire - has become a staple in fighting crime on Wall Street.
Will Connecticut Gov. Malloy Call the Hedge Fund Industry's Bluff?
Commentary  |  7/12/2011  | 
Connecticut, the home of nearly 200 hedge funds, is being held hostage by its most lucrative industry.
Varden Pacific Deploys Quantifi for Risk
News  |  7/12/2011  | 
Clearing Is Top OTC Reg Concern For Banks, Thomson Reuters Survey Shows
News  |  7/11/2011  | 
The survey covered senior positions with job titles ranging from head of desk to head of operations, post-trade and compliance to strategy and business managers.
CFTC Commissioner: Time to Define "Swap Dealer"
Commentary  |  7/7/2011  | 
With derivatives regulations still uncertain, Commissioner Scott O'Malia wants more transparency in the final rule-making process.
Tradeweb Hires Compliance Chief Ahead of Regulatory Deadlines
News  |  7/6/2011  | 
Tradeweb, an electronic trading network for bonds and derivatives, announced the hiring of a compliance chief as it prepares for the Dodd-Frank financial regulations to take effect.

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