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News & Commentary
Content tagged with Compliance posted in November 2013
Tradeweb's SEF Enables First Electronic Compression Trade with Arcem Capital
News  |  11/27/2013  | 
Macro-global investment firm executed a pool of interest-rate swaps using TW SEF's compression tool to net or terminate exposures at the clearing house.
SocGen Connects to Etrali Open Trade on New Paris Trading Floor
News  |  11/26/2013  | 
The Paris deployment is a part of a series of SocGen rollouts across the globe, soon to include Frankfurt, Milan, Madrid, Luxembourg.
Virtual Aggregation Gains Momentum as Buy Side Looks to Consolidate Commission Relationships
News  |  11/26/2013  | 
Buy-side firms are demanding that their sell side partners utilize a single location to aggregate their commission credits, according to Markit, which offers a single portal for commission management.
Capital Markets Regulatory Labyrinths Require Different Thinking
Commentary  |  11/25/2013  | 
Developing measurable and repeatable processes for regulatory compliance is a must for financial service compliance experts.
MarketAxess SEF Complies with Impartial Access
News  |  11/22/2013  | 
Changing its technology in response to the CFTC's guidance of Nov. 14, MarketAxess said its now providing open and impartial access to its SEF.
Tweaking Reg SCI, 5 Points of Contention
Slideshows  |  11/22/2013  | 
The SEC’s proposed Regulation SCI is intended to protect market technology from outages and technical glitches. But industry commentators contend the rule doesn’t include all market participants and underestimates the implementation costs. Here are five areas that market participants would like to change.
There's Opportunity For Innovation At Every Level
News  |  11/21/2013  | 
As traditional market opportunities evolve the need for agile technology is as much about maximizing alpha as it is about survival.
AxiomSL Meets Basel III Liquidity Requirements
News  |  11/20/2013  | 
AxiomSL, a reporting platform, meets Basel III liquidity requirements including liquidity coverage ratio.
Buckle Your Prop Trading Seat Belts – CFTC Hooks Wagon to Volcker
News  |  11/20/2013  | 
Hints of stiffer interpretations of Volcker rule set off a round of teeth gnashing and budget rewriting for nearly 11,000 trading firms.
CFTC Shakes Up the SEFs' View of Impartial Access
News  |  11/19/2013  | 
Yesterday, CFTC Chairman Gary Gensler told SEFs that their trading platforms could no longer be just dealer-to-dealer or dealer-to-customer, and must be open to all market participants.
Brazil's Sole Stock Exchange Must Prepare for Competition
News  |  11/15/2013  | 
ATS Brasil is fighting the establishment to stimulate industry growth and global investment opportunities.
Exchanges Issue Response to SEC's Demands to Strengthen Critical Market Infrastructure
News  |  11/13/2013  | 
Yesterday, US stock and options exchanges said they have reached agreement on several proposals to prevent breakdowns in SIPs, critical infrastructure, halts, trade breaks and kill switches.
Waking Shark II Shakes Firms in London
News  |  11/13/2013  | 
Financial institutions in London participated in Waking Shark II, a five-and-a-half-hour cyber exercise.
The Race is On to Create Common Reference for EMIR Compliance
News  |  11/12/2013  | 
With three months before regulation is in place, the swap community is faced with the interesting challenge of developing a common and unique trading identifier.
Sentiment Analysis by Gut Feel: What Doesn't Kill You Makes You Stronger
Commentary  |  11/12/2013  | 
The sentiment toward SEFs has gone fear, to uncertainty, to acceptance, to business opportunity.
SAC Capital Case Turns Up the Heat on Monitoring for Insider Trading
News  |  11/11/2013  | 
Hedge funds are beginning to analyze the behavior of traders through analytics, and open-source tools for extracting information from text and voice conversations are accessible and affordable.
Lessons on Mobile Recording Adoption from the UK
News  |  11/6/2013  | 
As Dodd-Frank's mobile recording deadlines extend in the US, it's worth comparing today's standards to technology solutions in the UK's rollout two years ago.
CFTC's Gensler Says LIBOR Is Based On Fiction, Not Fact
News  |  11/6/2013  | 
After praising the industry's work to complete 65 final CFTC rules to implement Dodd-Frank, Gary Gensler takes aim at LIBOR and says the industry needs to change.
Javelin's SEF Amends its MAT Filing; Uncertainty Lingers
News  |  11/5/2013  | 
Last week Javelin Capital Markets narrowed the scope of interest-rate swaps it wants to list on its SEF, in an open process. But one analyst says answers are needed.
Hedge Fund Clients of Eze OMS Gain Access to Markit TCA
News  |  11/4/2013  | 
Markit will integrate its TCA product into Eze OMS, so that hedge fund and asset manager clients can assess pre-trade estimates alongside open orders in the trading blotter.
Networks are Getting 'Up to Speed' with 10 and 40GpE
News  |  11/1/2013  | 
Firms want to scale data centers while accelerating applications, and monitor and secure the data running through the network. To do so, they will need to deploy new technology.

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