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News & Commentary
Content tagged with Compliance posted in September 2010
Office of Financial Research: Essential? Folly? Or Both?
Commentary  |  9/30/2010  | 
The Dodd-Frank Wall Street reform Act created the Office of Financial Research to help the U.S. Treasury assess banks' risk. But achieving that goal may require an act of God.
Get Ready for FinReg's Systems Bonanza
Commentary  |  9/30/2010  | 
The new Frank-Dodd Financial Reform law will result in a potential universe of 24 new regulatory systems, including platforms for reporting, compliance and risk.
Small Firms Leverage Cloud-Based Archiving Solutions to Build Social Media Advantage
News  |  9/28/2010  | 
By leveraging cost-effective cloud-based archiving solutions to ensure compliance, small financial services firms are gaining competitive advantage in the brave new world of social media.
ConvergEx's Cangemi Appointed 2011 STA Chairman
News  |  9/27/2010  | 
Industry veteran brings extensive experience and deep understanding of capital markets and market structure issues to STA role.
Regulatory Reactions to the Crisis and Moving Forward
Commentary  |  9/22/2010  | 
A new era on Wall Street has dawned, including revamped regulations for OTC derivatives and proprietary trading.
Quote MTF Is Giving Equity Partnerships To Key Trading Firms
News  |  9/22/2010  | 
European MTF continues to rebuff passive flow rebate model to protect against price discrimination.
Regulatory Systems: Will Their Steep Cost Outweigh Any Benefits?
News  |  9/20/2010  | 
Wall Street is evolving, seeking to reinvent itself following the financial crisis. Apparently, the metamorphosis will include building information systems that provide transparency into hidden balance sheets and create audit trails of high-frequency trading activity - at a cost of billions of dollars.
Rethinking Our Markets
Commentary  |  9/20/2010  | 
How do we create a market that doesn't fold under duress?
Proprietary Trading Firms Lure Potential Spin Outs from Big Banks
News  |  9/20/2010  | 
The spin off of proprietary trading desks resulting from the Volcker Rule presents an opportunity for independent firms and tech suppliers.
Is the LTRS a Big Brother?
News  |  9/20/2010  | 
Market participants question the costs, required resources and privacy concerns of building a real-time Large Trader Reporting System.
Technology Adoption Brings Change to Indian Capital Markets
Commentary  |  9/20/2010  | 
While foreign brokers have influenced the adoption of high-touch DMA and the FIX protocol in India, Celent analysts say fully automated DMA remains a distant pipe dream as regulators are skeptical.
Deutsche Borse Group Supports EC's Proposed Regs for OTC Derivatives
News  |  9/16/2010  | 
Agrees with obligation to clear OTC derivatives trades via CCPs and need to establish trade repositories in the EU, but stresses need for harmonization between European initiatives and U.S. Frank-Dodd Act.
Bernanke To Testify Before FCIC On Financial Crisis
News  |  9/14/2010  | 
Federal Reserve Chairman Ben Bernanke is set to testify today before the FCIC. In this CNBC video, Douglas Holtz-Eakin of the Financial Crisis Inquiry Commission discusses what the hearings will investigate. A lot of it will be on history, and what drove specific Fed decisions at the height of the crisis, Holtz-Eakin suggests.
No, We're Not Better Off Post Flash Crash
News  |  9/14/2010  | 
The flash crash put Wall Street regulation back on center stage and we've had successive rounds of it, but as WSJ’s Simon Constable asks, "Are we any better off?"
SEC Aims for Consistency With Expanded Circuit Breaker and Broken Trade Rules
News  |  9/13/2010  | 
The SEC's expansion of circuit breakers to Russell 1000 stocks is the first line of defense against another May 6th "flash crash," says Aite Group's Sang Lee, but it may not prevent another disaster.
SEC Expands Circuit Breaker to Russell 1000 Stocks
News  |  9/10/2010  | 
U.S. financial regulators intensified their efforts to prevent a sequel to the May 6 Flash crash, moving to the expand Securities and Exchange Commission’s recently adopted circuit breaker to include Russell 1000 stocks.
Traders Don’t See SEC Circuit Breaker Stopping Another Flash Crash - Survey
News  |  9/8/2010  | 
A strong majority of traders believe the circuit breaker instituted by the U.S. Securities and Exchange Commission is not enough to prevent another flash crash, according to a survey conducted by TradeTech.
HedgeOp Compliance Upgrades Personal Trading Compliance Software with Yodlee Partnership
News  |  9/7/2010  | 
The ELF v.2.0 "Code of Ethics Platform," contains a streamlined compliance workflow and a new user interface created to increase user functionality while simplifying the process for employees through automation.
SEC Charges N.J. Investment Advisor With $11 Million Fraud
News  |  9/2/2010  | 
The U.S. Securities and Exchange Commission announced it charged a New Jersey investment advisor and three of her firms with fraud for allegedly operating a scheme involving the sale of phony promissory notes to investors.
Guidance Software Launches Unified E-Discovery Platform
News  |  9/1/2010  | 
Users can quickly identify relevant data sources, get metrics on total data versus potentially relevant data, and understand how much data could be eliminated, according to Guidance.

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