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News & Commentary
Content tagged with Compliance posted in January 2011
A Surprising Bestseller: The 576-Page Financial Crisis Inquiry Report
Commentary  |  1/31/2011  | 
Perhaps readers were lured by the literary prose of the commission's chairman, Phil Angelides.
Banks Cry Wolf Over IT Budgets
Commentary  |  1/28/2011  | 
As Dodd-Frank rolls into Wall Street, banks will claim they don't have the funds to operate in compliance. Cry me a river.
CFTC Proposes New Fund Regs
News  |  1/27/2011  | 
CFTC Budget Crunch: Can it Oversee Swaps Market?
Commentary  |  1/26/2011  | 
Commissioner Scott O' Malia said CFTC has made no investment in market surveillance systems, despite increased Dodd-Frank supervisory role.
CFTC's Latest Plan for Swaps May Save Banks Billions
Commentary  |  1/26/2011  | 
The rigid regulatory climate may have some on Wall Street feeling a bit uneasy these days, but at least one regulator is probably winning fans with a plan that may save banks billions in the long run.
Blame The Government For The Financial Crisis
Commentary  |  1/26/2011  | 
"The fault lies not in the stars, but in us," report finds.
SEC Tightens Rules for Hedge Funds
News  |  1/26/2011  | 
Large private funds must reveal potential levels of risk to US marketplace.
Did The SEC Make A Rash (And Unfortunate) Real Estate Decision?
Commentary  |  1/25/2011  | 
The SEC's internal watchdog has opened an investigation into the agency's leasing activity, in particular its decision to lease almost 1 million square feet in downtown Washington.
Deutsche Borse Taps Cinnover For Market Surveillance Technology
News  |  1/25/2011  | 
The technology called Scila Surveillance will replace Deutsche Boerse's in-house solution.
Insider Trading Probe Is Felt Beyond World Of Hedge Funds
Commentary  |  1/24/2011  | 
A Morgan Stanley banker has become the first Wall Street banker publicly drawn into the Galleon investigation.
Lack Of SEC Resources Could Be Biggest Hurdle For Volcker Rule
Commentary  |  1/21/2011  | 
The SEC is getting stretched thin and Congress doesn't seem interested in providing more resources...
Wolters Kluwer Financial Services Expands Offerings to India
News  |  1/20/2011  | 
Through its regulatory expertise and technology offerings, the company will help financial professionals comply with industry regulations, including those enforced by Reserve Bank of India (RBI), and Securities and Exchange Board of India (SEBI).
Going Back to Front Office
News  |  1/20/2011  | 
Buy-side firms must address the new post-Dodd-Frank ecosystem. The first step: Stop focusing on the front office and pay more attention to the back office.
Implications of the Insider Trading Probe into Expert Research Networks
Commentary  |  1/19/2011  | 
A widening insider trading probe into expert research networks has put a chill on money management firms that rely on the networks' industrial insight. Buy-side firms that purchase research are fearful of becoming tangled up in the scandal.
Is It (Finally) Time For Banks To Worry About WikiLeaks?
Commentary  |  1/18/2011  | 
A former Swiss banker has 'publicly' handed over data to Julian Assange.
Trends and the Tornado: Predictions for 2011
Commentary  |  1/18/2011  | 
A battle of epic proportions over OTC derivatives reform will suck all of the air out of equities.
Goldman 'Yanks' Facebook IPO
Commentary  |  1/18/2011  | 
Fed: Banks Eased Credit to Hedge Funds
News  |  1/14/2011  | 
Dealers eased credit terms to hedge funds and private-equity firms that borrow against securities.
Wall Street Banks on GOP Watering Down Dodd-Frank
Commentary  |  1/12/2011  | 
Bank stocks have been on a tear since the November rout that catapulted the GOP into control of Congress. And now Wall Street is banking on the Republicans to water down the Dodd-Frank bill, which by some estimates may slash bank profits by some $22 billion, Barron’s reports.
Dozens Of Traders, Execs, Lawyers, Become Government Informants
Commentary  |  1/12/2011  | 
For months, one former UBS banker secretly recorded telephone calls with four friends about pending deals and told investigators all he knew about their insider trading.
Barclays CEO Diamond: Bad Banks Should Fail
News  |  1/11/2011  | 
During testimony in London, Barclays' CEO Bob Diamond says governments need to give control of banks back to the private sector so financial institutions can grow.
Barclays CEO Says Stop Blaming Bankers for Weak Economy
Commentary  |  1/11/2011  | 
Barclays Chief Executive Robert Diamond is apparently mad that Wall Street is constantly being blamed for the weak global economy and he's not going to take it anymore.
Quote MTF Hires Former FSA Regulator
News  |  1/11/2011  | 
Pan-European alternative trading venue hired Dr. Adam Farkas, formerly with the Hungarian FSA, to stay ahead of post-MIFID regulatory changes in 2011.
Broadridge Partners with Pitney Bowes
News  |  1/7/2011  | 
Broadridge will utllize Pitney Bowes' new Volly service for secure digital delivery of products to clients and shareholders.
Where Have the IPOs Gone?
News  |  1/6/2011  | 
Europe 2011 — Regulation, Consolidation and a New Dynamic
Commentary  |  1/6/2011  | 
Tabb analysts predict 2011 will be a watershed year for European financial market structures changes and governance.
Dodd-Frank Drives Hiring but Traders Need Not Apply
Commentary  |  1/5/2011  | 
The Dodd-Frank bill is doing far more than simply reining in the risky trading practices that drove the global economy to the brink of disaster more than two years ago.
Regulatory Compliance Tops Priority List for CIOs
News  |  1/3/2011  | 
Preparing for the new rules in the Dodd-Frank Wall Street Reform and Consumer Protection Act will require focus and resources.

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