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News & Commentary
Content tagged with Compliance posted in August 2011
BATS Gets SEC's Nod for U.S. Primary Listings
News  |  8/31/2011  | 
Plans to launch an alternative place for I.P.O.s to the NYSE and Nasdaq, starting this December.
Guidance Software Unveils Data Mapping Service
News  |  8/31/2011  | 
The new service aims to help firms locate data and assess risks from lost data.
Why The SEC Should Finally Be Scrapped
Commentary  |  8/30/2011  | 
The SEC has been plagued for years by charges that it is an ineffective body. But the latest insider criticism levied at the watchdog should signal an end to its "loose rule" over the financial industry, some say.
Raymond James Chooses Rapid Addition
News  |  8/30/2011  | 
The broker is using Rapid Addition's FIX technology to extend Microsoft's BizTalk middleware for TRACE reporting of mortgage-backed and asset-backed securities to FINRA.
The Buy-Side Drags Its Feet On Regulatory-Driven Investments
News  |  8/29/2011  | 
With regulators missing Dodd-Frank rulemaking deadlines, the struggling capital markets sector is in no rush to make costly infrastructure and software investments needed for compliance.
Insider Trading On Regulators' Radar
Commentary  |  8/25/2011  | 
Regulators are on the prowl for suspicious trading. Hedge funds ignore surveillance and monitoring systems at their own peril.
NorthPoint Integates OMS with ICE Link
News  |  8/24/2011  | 
Asset managers can automatically send their CDS trades via NorthPoint's OMS to ICE Link for affirmation.
Large Trader Rule May Bring Confidence Back to the Marketplace
Commentary  |  8/24/2011  | 
We at Woodbine Associates believe the rule is appropriate and well intentioned, and that concerns regarding it are overblown.
Xtrakter Is Reporting Derivatives Data to FSA
News  |  8/23/2011  | 
In compliance with MiFID, XTrakter enables clients to use the Alternative Identifier (Aii) for derivatives transactions reported to regulated markets by Nov.13, 2011.
GlobeOp Launches Form PF Reporting Service For Hedge Funds Ahead of SEC deadline
News  |  8/22/2011  | 
The first SEC deadline for private fund (Form PF) reporting currently less than six months away.
SEC's Document Disposal Policy in Disarray
Commentary  |  8/18/2011  | 
The agency was illegally destroying files and documents pertaining to preliminary investigations of notorious characters such as Bernard Madoff and Wall Street firms.
Markets May Drop, But No Downgrade for Role of Compliance
Commentary  |  8/17/2011  | 
In the wake of S&P's downgrade of U.S. debt, compliance officers are fulfilling a far more proactive and pre-trade role in their firms' trading organizations, says Matt Grinnell, Fidessa's
Perry Blasts Bernanke for Treason
News  |  8/16/2011  | 
Buffet's Call for Tax Increases on Mega-Rich Are Wishful Thinking
Commentary  |  8/15/2011  | 
Although higher taxes for the richest Americans makes sense on the surface, the political climate means they're highly unlikely.
French Think Tank Brands European Short-Selling Bans as 'Political Smokescreen'
News  |  8/12/2011  | 
A France-based academic think tank blasted the short-selling ban enacted in several European countries this week as a remedy for extreme volatility, arguing that reduced liquidity and market quality will be the unintended consequences.
We All Need to Vent: Aerial Protest of S&P
Commentary  |  8/11/2011  | 
A woman stock broker hires a plane to fly over S&P's building to protest the downgrade of U.S. debt. Politicians fly off to Hamptons and Vineyard.
Where Are the U.S. Riots?
News  |  8/10/2011  | 
S&P Balks at SEC Proposal to Reveal Rating Errors
News  |  8/10/2011  | 
The credit agency resists government scrutiny, thank you very much.
Insider Trading: Who Is In the SEC Crosshairs?
News  |  8/9/2011  | 
The SEC is hard at work wielding the axe against insider traders. Here's who the agency is most likely to hunt down.
Standard & Poor's is Bearish on the U.S. Political System
Commentary  |  8/8/2011  | 
In downgrading the United States' top tier credit rating for the first time ever, Standard & Poor's has taken a bearish position on the nation's political system.
US Treasuries Get the Last Laugh?
News  |  8/8/2011  | 
Hedge Fund Stars Profit in Global Debt Crisis
News  |  8/5/2011  | 
In the wake of a 500-point drop on the Street, managers bet on gold, dollar, CDS and bank stocks.

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