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News & Commentary
Content tagged with Compliance posted in July 2009
Ruth Madoff Faces Lawsuit From Picard to Recover $48 Million
News  |  7/30/2009  | 
Complaint charges that funds were transferred directly to Ruth Madoff from Bernard Madoff's securities business during the past six years or to companies that she was an investor in.
CME CEO Cautions CFTC on Position Limits for Energy Futures Trading
News  |  7/28/2009  | 
CME CEO Cautions CFTC On Position Limits for Energy Futures Trading
SIFMA Supports Single Systemic Regulator and Financial Services Oversight Council
News  |  7/22/2009  | 
SIFMA throws its support bending Obama Administration's plan to create a single, systemic risk supervisor and Financial Services Oversight Council.
Covestor Disrupts Wealth Management with New Multi-Managed Account
News  |  7/22/2009  | 
Retail investors replicate different models inside an MMA, with transparent access to their account.
Global Regulatory Pressure High, But Firms Are Not Well Prepared
News  |  7/20/2009  | 
Firms are contending with shrinking budgets and do not have fully automated compliance processes nor regularly trained compliance staff.
CBOE Chairman William Brodsky Tells Congress Consolidation of Regulatory Agencies Is Necessary
News  |  7/17/2009  | 
Warns that split jurisdiction of SEC and CFTC introduces unnecessary complications into regulation of products, including OTC derivatives.
A New Theory on Market Structure
Commentary  |  7/16/2009  | 
What happens when economic market theory collides with the fractured, high-speed, low-latency, dark pool insanity that we call the U.S. equity market?
FRSGlobal Unveils ReportBuilder TNG
News  |  7/16/2009  | 
Allows financial institutions to create internal and external reports for regulators from a single data source.
Goldman Sachs' Head Turning Quarter
News  |  7/14/2009  | 
Even after the firm paid back the $10 billion it owed to the government for the Troubled Asset Relief Program (TARP), it still did better than analysts were expecting.
Obama Plan Would Require Hedge Funds to Register With the SEC and Report on Exposures
News  |  7/13/2009  | 
President Obama's proposed regulatory reforms would require hedge funds to register with the SEC and provide data on their market exposure.
Compliance With Tomorrow's New Regulations Starts With Data Management Today
News  |  7/13/2009  | 
Even though the Obama administration's plan for financial regulatory reform lacks specifics, firms should prepare for compliance by developing a sound data management strategy.
The Real Story of Trading Software Espionage
Commentary  |  7/10/2009  | 
While the 32MB of Goldman Sachs' proprietary algorithmic trading code allegedly stolen by Sergey Aleynikov makes for great news, it also highlights the new significance of high-frequency trading — which is built on this technology — in the marketplace.
Citadel Files Lawsuit Against Former Traders at FIrm Linked to Ex-Goldman Programmer
News  |  7/10/2009  | 
Citadel alleges the formation of new firm Teva Technologies violates non-compete agreements.
Are Speculators Driving Up Oil Prices?
News  |  7/9/2009  | 
The Commodity Futures Trading Commission (CFTC) certainly suspects that oil speculators are behind the wild swings in oil prices.
Positive Impact of Public Private Investment Program Still Under Debate
Commentary  |  7/9/2009  | 
PPIP carries a disproportionate amount of the burden among government programs to end the negative economic cycle while replenishing lost bank capital and restoring liquidity to the legacy securities markets.
Wall Street Adjusts to Transparency Demands
News  |  7/7/2009  | 
Calls for transparency from regulators, investors and even financial firms aren't about to subside anytime soon. Technology -- and education -- are key to helping Wall Street respond.

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