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Compliance
News & Commentary
Wall Street CIOs Have A Vendor Management Problem
Lev Lesokhin, Executive VP, Strategy, CAST
If Wall Street CIOs want to stay ahead of competition and ensure that high-speed trading software doesn't start the next flash crash, they need better insight into vendor-delivered software.
By Lev Lesokhin Executive VP, Strategy, CAST,
Bitcoin Taxation: A Gift From the IRS & the Coffee Problem
Kirk Phillips, Founder & Captain, invizibizCommentary
Every bitcoin transaction requires a gain or loss calculation between acquired cost basis and the amount it was sold for. This is no problem for large blocks, but on everyday purchases, a gain or loss calculation on every $1.79 cup of coffee is a lot of calculating.
By Kirk Phillips Founder & Captain, invizibiz,
2014 in Review: Looking Back at a Year in Risk
Andrew Waxman, Thought LeaderCommentary
Although the financial markets escaped having a rogue trading incident, 2014 brought a host of incidents ranging from cyber security and FX rigging to anti-money laundering and insider trading.
By Andrew Waxman Thought Leader,
2015 Prediction: FinServ & Regulators Will See Opportunity in Internet of Things
Becca Lipman, Senior EditorCommentary
The Internet of Things still seems a bit foreign to capital markets, but next year may be the start of conversations, investment, and regulations on how firms can incorporate the world of sensor data.
By Becca Lipman Senior Editor,
Facial Analysis: Wall Street's Next Big-Data Tool
Jeff Bertolucci,
Researchers at the New Jersey Institute of Technology are analyzing facial expressions of corporate execs, as well as other data streams, to forecast stock market trends.
By Jeff Bertolucci ,
MiFID2: Filling in the Gaps
Senthil Radhakrishnan, VP for Capital Market Solutions Practice,Virtusa Consulting Private LtdCommentary
The final rules and technical specifications for MiFID2 are still being ironed out. Here's what you need to know now about the pending rules changes.
By Senthil Radhakrishnan VP for Capital Market Solutions Practice,Virtusa Consulting Private Ltd,
SEC Examinations: What to Expect When the SEC Is on Its Way
Becca Lipman, Senior EditorCommentary
Theodore Eichenlaub highlights trends in SEC expectations and how to approach a risk assessment of your compliance program.
By Becca Lipman Senior Editor,
SCI: A Whale of a Regulation
Jennifer Costley, Ph.D, Principal, Ashokan AdvisorsCommentary
The SEC's Reg SCI weights in at a whopping 742 pages. Here is what you need to know about the oversized regulation.
By Jennifer Costley, Ph.D Principal, Ashokan Advisors,
Stop Using Spreadsheets for Disclosure Management, Says Linedata
Becca Lipman, Senior EditorCommentary
The rules for aggregating and calculating disclosures vary tremendously across global jurisdictions, getting well ahead of traditional approaches. Interest in automated solutions rises.
By Becca Lipman Senior Editor,
Finra to Focus on Fixed Income ATSs & Algo Providers
Ivy Schmerken, Editor at LargeNews
Finra CEO Richard Ketchum outlines plans for requiring brokers that use fixed-income "RFQ systems" to provide more pre-trade price transparency to customers. In equities, Finra wants to register firms involved in designing algorithms.
By Ivy Schmerken Editor at Large,
SEC Chairman Discusses Rule Changes on HFT
Ivy Schmerken, Editor at LargeNews
SEC Chair Mary Jo White discussed HFT and the agency's plans for equity market structure in 2015 in a video interview with Bloomberg Market Makers at the SIFMA annual meeting.
By Ivy Schmerken Editor at Large,
Technology & Compliance Biggest Setback in Social Strategy
Becca Lipman, Senior EditorCommentary
Wells Fargo says better social aggregation and search technology will help financial firms put their people back into the social realm.
By Becca Lipman Senior Editor,
Droit Taps Industry Veterans as Advisors to Its Derivatives Compliance Platform
Ivy Schmerken, Editor at LargeNews
Droit Financial Technologies appointed former ISDA CEO Robert Pickel, fintech specialist Mark Beeston, and former UBS executive Seth Cohen to join a new advisory board that will broaden the conversation about derivatives compliance.
By Ivy Schmerken Editor at Large,
After Scandals & Ethical Lapses, Financial Industry Needs a Code of Conduct
Ivy Schmerken, Editor at LargeNews
A financial markets trade body is bringing a model code of conduct to participants who work in interest rates, FX, commodities, and derivatives. After a series of fines, can this help banks repair their reputations?
By Ivy Schmerken Editor at Large,
Manage Data to Meet Compliance Demands
Anne Rawland Gabriel, Technology writer and marketing communications consultantNews
With no end to the data and information glut in sight, firms are seeking better ways to aggregate, analyze, and manage data to satisfy compliance and competitive demands.
By Anne Rawland Gabriel Technology writer and marketing communications consultant,
Buy Side Vets Research Providers with Standardized Questions
Ivy Schmerken, Editor at LargeNews
Buy-side concerns over insider trading led Castine Consulting and Integrity Research to launch a cloud-based platform that standardizes due diligence questionnaires posed to research providers.
By Ivy Schmerken Editor at Large,
FATCA Compliance Still Global Nightmare
Becca Lipman, Senior EditorCommentary
In a survey of finance executives, 67% report that the complexity of FATCA requirements is the top hurdle to achieving compliance.
By Becca Lipman Senior Editor,
4 Factors Driving Enlightenment & Big-Data Adoption in Regulatory Compliance
Ahson Pai, Partner, SunGard Consulting ServicesCommentary
Whether seeking to maintain compliance or to drive business value, emerging technologies can unleash tremendous potential.
By Ahson Pai Partner, SunGard Consulting Services,
Get Ready for RDA
Greg MacSweeney, Editorial DirectorNews
The deadline for Risk Data Aggregation (RDA) is approaching quickly. Is your bank ready?
By Greg MacSweeney Editorial Director,
SEC’s CIO Grows Tech by Leaps & Bounds
Greg MacSweeney, Editorial DirectorNews
Tom Bayer, CIO for the SEC, has helped the agency improve its systems to better monitor today’s electronic markets.
By Greg MacSweeney Editorial Director,
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Slideshows
Stressed Out by Compliance, Reputational Damage & Fines?
Stressed Out by Compliance, Reputational Damage & Fines?
Financial services executives are living in a "regulatory pressure cooker." Here's how executives are preparing for the new compliance requirements.
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