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News & Commentary
Content tagged with Compliance posted in September 2011
Multi-Million Dollar Severances Still Make It Worth It For Wall Street Execs To Get Fired
News  |  9/30/2011  | 
It certainly looks like it was worth it for executives from Bank of New York Mellon, HP and Yahoo.
Severe Blow For Madoff Trustee Attempting To Recover Billions For Victims
News  |  9/29/2011  | 
Federal Judge Rakoff is turning into Irving Picard's arch nemesis.
Chris Christie’s Wall Street Backers May Get their Wish
Commentary  |  9/29/2011  | 
Mitt Romney appears to be Wall Street’s darling in the race for the GOP presidential nomination, but that could change if New Jersey Governor Chris Christie enters the fray.
NFA to Provide Regulatory Services to GFI's SEF
News  |  9/28/2011  | 
GFI is contracting with NFA to provide regulatory and surveillance services to its swaps execution facility, as allowed by the CFTC.
SEC To Sharpen Circuit Breaker Rules
News  |  9/28/2011  | 
The U.S. Securities and Exchange Commission will strengthen the 23-year-old circuit breakers that failed to stop the acceleration of last year's flash crash.
Rogue-Proofing Your Fund
News  |  9/23/2011  | 
How can buy-side firms stop rogue traders before they go too rogue? The good news: Rogues can be found but the bad news is no one can ignore the problem any longer.
Deutsche Bank Exec To Head Elektron Transactions
News  |  9/23/2011  | 
In his new role at Elektron, the Deutsche Bank veteran will bring together applications, data and infrastructure to support integrated trading systems targeted at specific customer requirements.
Is the Volcker Rule on the Brink of Further Weakening?
Commentary  |  9/22/2011  | 
Under guidelines set earlier this year by the Financial Stability Oversight Council, any position taken by a bank that isn't hedged completely can be considered proprietary trading, a practice that was banned by the Volcker Rule.
Bloomberg Launches Trading Platform For Derivatives Compliance
News  |  9/22/2011  | 
The platform will help investors comply with the Dodd-Frank Act requiring companies to trade credit-default swaps and other derivatives through swap execution facilities.
Bloomberg Rolls Out Derivatives Platform
News  |  9/22/2011  | 
Bloomberg has launched ALLQ, the first commingled platform for OTC derivatives trading, which it says is the foundation for building a swap execution facility under Dodd-Frank.
Rogue Watch: Beware False Trades
News  |  9/21/2011  | 
UBS Scandal Polarizes Opinions On What Went Wrong
Commentary  |  9/21/2011  | 
UBS is still giving out only a trickle of information about what actually might have happened.
Does Insider Trading Warrant A 24-Year Prison Sentence?
News  |  9/20/2011  | 
Next week a judge will be handing down a sentence to Raj Rajaratnam, former head of the Galleon Group.
Spotting a Rogue Trader
News  |  9/20/2011  | 
Advanced Trading spoke with James Heinzman, managing director of Global Compliance Solutions, to discuss how firms can better detect rogue traders.
Banks Making Major Systems Enhancements to Improve Transparency, Says Survey
News  |  9/19/2011  | 
Increased use of off-the-shelf products will help banks meet regulatory reporting demands in coming years.
DTCC Partners with Clearstream
News  |  9/15/2011  | 
Both companies plan to combine DTCC Loan/SERV and Clearstream collateral management to leverage loans as collateral.
Why Volatility is Opportunity for Wealth Managers
Commentary  |  9/15/2011  | 
Volatile markets can be disruptive, but overlay management is helping many banks, broker dealers and RIAs make asset allocation changes without compromising on customization, Smartleaf's President Jerry Michael.
Rogue Trader Arrested, Costs UBS $2B
News  |  9/15/2011  | 
BM&FBovespa Will Use Nasdaq OMX's Surveillance Program
News  |  9/15/2011  | 
Brazil's largest exchanges and its SRO plan to use Nasdaq OMX's SMARTS Integrity market surveillance program to monitor trading across their equities and commodities platforms.
Market Data and the Prisoner's Dilemma
News  |  9/14/2011  | 
Join Us For the Buy-Side Trading Summit
News  |  9/13/2011  | 
AT invites traders from the top hedge funds and asset management firms in Amelia Island, Florida on October 16th - 18th for sun, networking and incisive panels.
Fidessa Passes Certification Test for Chi-X Australia
News  |  9/13/2011  | 
Fidessa is also providing the software and technology infrastructure for ASX Best, a multi-market trading application that allows smart order routing between venues.
Spending In a Recession
News  |  9/9/2011  | 
A Decade After 9/11, Business Continuity Is Still A Work-In-Progress On Wall Street
News  |  9/9/2011  | 
9/11 marked a turning point for business continuity. Although now it seems the real game changer in the business continuity arena occurred more recently during the 2009 financial crisis. Still, firms have a lot to figure out.
SEC Approves CBOE to Trade SPXpm on C2 Electronic Platform
News  |  9/6/2011  | 
The new SPXpm is identical to CBOE's flagship SPX index options contract, except it has a "P.M." settlement.
IBM Boosts Risk Management Practice With Acquisition of Algorithmics
News  |  9/1/2011  | 
The $387 million purchase follows IBM's acquisition last year of risk management software provider OpenPages.

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