No Screwups, Please, We’re Banks
Changing a bank's culture is not going to happen overnight, but having the right tools and levers in house will surely make a big difference over time.
Finra to Focus on Fixed Income ATSs & Algo Providers
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.
SEC Chairman Discusses Rule Changes on HFT
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.
Why a CIO's Last 100 Days Are Most Important
It is incumbent on outgoing CIOs to offer up some sort of transition plan, something that will get the IT function from point A to point B with as little disruption as possible.
7 Pillars of Market Surveillance 2.0
Compliance officers are facing flash crashes, insider trading, market manipulation, and more. Here are seven market surveillance and risk management steps that will help compliance officers sleep better at night.