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News & Commentary
Content tagged with Compliance posted in August 2010
'Flash Crash' Prompts a Rethinking of the Rules
News  |  8/31/2010  | 
The Flash Crash quickly spurred the realization that disparate regulation across the interdependent securities and derivatives markets is ineffective. As a result, the SEC and CFTC are wasting no time taking steps to shore up the market structure and to simplify and harmonize rules for all participants.
Newedge Warns of International Regulatory Arbitrage in OTC Derivatives
News  |  8/30/2010  | 
Supports regulatory harmony between the European Commissions proposals and the U.S Dodd-Frank Bill's private clearing initiatives.
SEC Adopts New Proxy Voting Rules
News  |  8/26/2010  | 
Shareholders who own at least three percent of a company's shares continuously for the prior three years, would be eligible to nominate directors to a company's board.
FTEN Receives Patent for its Financial Data Processing System
News  |  8/18/2010  | 
The technology provides real-time cross-market risk management and surveillance at a time when regulators are pondering new mandates for sponsored and naked access.
Themis Trading Calls for Moratorium on New U.S. Equity Exchange Approvals
News  |  8/17/2010  | 
Cites the unknown causes of the May 6th 'flash crash' and the complexity of fragmented trading venues as reasons.
Bank of America is on Double-Secret Probation
News  |  8/9/2010  | 
For almost 18 months, Bank of America has been under secret harsh restrictions from federal banking regulators. Now BofA is looking to get out from under the restrictions.
TerraNua Releases New Version Of MyComplianceOffice For Hedge Funds
News  |  8/9/2010  | 
On the heels of new regulation, nearly 3,200 hedge funds and private equity firms will need to register and put in a compliance program that meets expectations of the SEC for a registered investment adviser.
Firms Struggling to Implement Liquidity Risk Management Technology and Processes
News  |  8/3/2010  | 
Two years after the North American credit crisis began, financial firms are facing new liquidity demands from regulators and are still working to implement enterprisewide liquidity risk management systems.
Regulatory Revolving Door Raises Ethics Questions
News  |  8/2/2010  | 
Last week, Elizabeth King, a long-time regulator at the Securities and Exchange Commission, joined the electronic market making firm's regulatory staff, raising questions about the ethics of such a move.

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