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News & Commentary
Content tagged with Compliance posted in May 2009
World Federation of Exchanges Pledges International Regulatory Cooperation
News  |  5/28/2009  | 
The WFE, based in Paris, France, is an association of more than 50 regulated stock, futures and options exchanges worldwide.
Still Stressed Over Bank Stress Tests
Commentary  |  5/28/2009  | 
Although investors greeted the results of the government's banking stress tests with cheers, were the tests strict enough to help prevent another financial meltdown?
SEC's Agenda: Sponsored Access, Dark Pools, etc.
News  |  5/28/2009  | 
In the coming months, the SEC will be examining sponsored access, dark pools and pre-trade order and quote messages, according to James Brigagliano, the SEC's co-acting director, division of trading and markets.
The Rise of a Financial Stability Regulator
News  |  5/28/2009  | 
Just as the Great Depression led to the creation of new institutions and financial practices, the Obama administration is on track to impact financial regulations.
UAT Launches Trading Oversight System For Investment Industry
News  |  5/27/2009  | 
Technology provides pre-trade compliance, real-time reporting, and lower brokerage costs for sub-advised platforms, says UAT.
In Support of Short Sale Restrictions
Commentary  |  5/20/2009  | 
What Hedge Funds Can Expect From The New Regulations
News  |  5/19/2009  | 
Hedge funds are expecting the government to create a systemic regulator and to require more regular reporting on counterparties and positions,according to consultant/systems integrator Howard Weinstein.
HedgeOp Launches Compliance Platform For RIAs
News  |  5/19/2009  | 
New web-based software application helps investment advisers meet adviser act requirements.
Mitigating New Risks: Q&A With Catalina Partners' Patty Watters
News  |  5/14/2009  | 
Patty Watters, cofounder of Catalina Partners, a risk advisory business launched in March, discusses the new risk challenges facing institutional investors and advisers as they try to win back investor confidence.
Will Geithner Mandate CDS Trading on Exchanges?
News  |  5/14/2009  | 
Treasury Secretary Timothy Geithner signaled that regulators would mandate more transparency into OTC derivatives products and force trading of credit default swaps onto exchanges.
WFE Responds to IOSCO Report on Short Selling Regulation
News  |  5/12/2009  | 
WFE advocates principles-based regulatikons for short selling to maintain efficient and orderly markets.
Thomson Reuters Addresses New FSA Requirements
News  |  5/11/2009  | 
The regulations as envisaged by the FSA in CP09/13 will require UK financial institutions to periodically report their firm -wide liquidity levels and perform stress tests to identify funding gap
OTC, Central Clearing or Exchange-Traded: Choosing the Right Path
Commentary  |  5/8/2009  | 
Increasing capital reserve requirements for OTC self-cleared products would change the economics of the marketplace and may nudge the indusrty toward an exchange-traded model.
STA Implores SEC to Think Out of Box on Uptick
News  |  5/7/2009  | 
The STA gives SEC Chair an Alternative Short Sales Circuit Breaker Proposal.
FINRA’s Ketchum Outlines Areas in Need of Regulation
News  |  5/7/2009  | 
Rick Ketchum CEO of FINRA addressed the attendees of the 13th annual Security Traders Association conference in Washington, DC on Tuesday, focusing on areas where he clearly sees a need for regulation.

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