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Latest Content tagged with Compliance
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Hedge Fund Readiness for AIFMD Is Lacking as Deadline Approaches
News  |  7/17/2014  | 
With the July 22 deadline looming, hedge funds are unprepared to meet the AIFMD data reporting requirements, and they worry about compliance costs, two studies say.
Fraud Charges Against Barclays Rock the Dark Pool World
News  |  6/27/2014  | 
New York State's lawsuit alleges that Barclays marketed the safeguards of its surveillance system to buy-side customers but actually favored high-frequency traders in its dark pool.
Debate Over Conflicts of Interest in Equity Markets Rages On
News  |  6/24/2014  | 
Last week's Senate hearing explored conflicts of interest faced by brokers that receive payment for order flow and rebates for routing orders to certain trading venues, but many experts warned against immediate change.
Higher Demand for Market Data in Compliance Investigations
News  |  6/24/2014  | 
An emerging trend of risk-and-compliance officers requesting specific blocks of market data suggests new opportunity for information providers.
Where Are We Now? The Era of Trade Surveillance Automation
News  |  6/13/2014  | 
"For the first time compliance and surveillance people are demanding access to data instead of running away in fear from it."
SEC Charges Against Wedbush Securites Raise Issues With Direct Risk Controls
News  |  6/11/2014  | 
The regulator accused Wedbush of violating the Market Access Rule by allowing customers to set their own risk controls on proprietary and third-party platforms.
Compendia: New Mobile Collaboration App Sets Sights on NYC
News  |  6/4/2014  | 
Rebelling against Apple's famous "there's an app for that" mantra, enterprises are looking to combine functionalists in fewer and more secure mobile platforms. Can Compendia be a big part of the solution?
TrueEX Processes $750 Billion in Bunched Order Allocations
News  |  5/19/2014  | 
The firm's post-trade platform is helping asset managers and FCMs handle "bunched order" allocations for interest rates swaps, a major pain point for the buy-side.
Beyond Heartbleed: 5 Basic Rules To Reduce Risk
News  |  5/19/2014  | 
Firms continue to migrate sensitive information into fewer web-based applications with homogenous environments, increasing the potential for damage.
White House Big Data Report Stresses Privacy and Balance
News  |  5/7/2014  | 
Companies need to be thoughtful of the upstream and downstream impact of using big data.
Javelin's CEO James Cawley Departs SEF
News  |  5/5/2014  | 
An advocate for transparency in swaps trading, James Cawley, founder and CEO of Javelin SEF, is parting ways with the derivatives trading platform.
White House Big Data Report: 5 Privacy Takeaways
News  |  5/5/2014  | 
Big data raises serious privacy concerns that need to be addressed, sooner rather than later, report says.
Common Backup Blunders
News  |  5/2/2014  | 
Don't get caught with your pants down.
NY AG Secures Agreement with PR Newswire to Prevent Direct Data Access for HFT
News  |  4/30/2014  | 
News distributor PR Newswire has agreed to require customers to certify annually that the direct data feeds they receive will not be used for high frequency trading.
Why Securities Data is Master in The Race to FATCA Compliance
News  |  4/30/2014  | 
The July 1st deadline is fast approaching.
SEC Requests Financial Firms' Security Details
News  |  4/28/2014  | 
SEC asks 50 businesses for copies of their security policies, procedures, and controls in an effort to help the industry bolster cybersecurity protection.
High Frequency Debate Influences Survey on Stock Market Fairness
News  |  4/25/2014  | 
A survey conducted by ConvergEx Group found that 70% of participants believe the US equity market isn't fair to all participants.
SEC Eyes Potential Order Routing Disclosures
News  |  4/21/2014  | 
Requiring brokers to provide more transparency into their stock order routing practices would give investors more information on where their trades are being executed.
Complex Order Types, Fragmentation And Dark Pools, Oh My!
News  |  4/10/2014  | 
Traders agree that market structure and some complex order types are not benefiting investors.
The Great HFT Debate Is Yesterday's News
News  |  4/8/2014  | 
If you are still slogging it out over HFT, you are missing the point. The real debate is about market structure.
UBS Neo Helps the Buy Side Manage Complexity
News  |  4/2/2014  | 
UBS partnered with Lab 49 to develop Neo, a multi-asset platform that provides services to clients and routes to other venues.
Private Equity Warms to Funding Portals
News  |  4/1/2014  | 
Digital networks are using innovative technology to simplify private equity deal management for the middle market.
"Flash Boys" Triggers Debate: HFT and Fairness
News  |  4/1/2014  | 
Author Michael Lewis told "60 Minutes" that the computerized, high-frequency stock market is rigged, sending Wall Street into a tizzy.
Data Standardization: No Longer a Luxury
News  |  3/27/2014  | 
AltExchange Alliance is working to create a universal, open and evolving definition for data formats.
High Frequency Trading: A Regulators' Burden
News  |  3/25/2014  | 
"The problem I see isn't necessarily HFT, it's about regulatory bodies needing to keep pace and in many cases ahead of the market place to police it effectively."
Tera Devises the First Bitcoin Swap Agreement
News  |  3/24/2014  | 
Terra, the operator of a U.S.-based swap execution facility, said it's critical for bitcoin market participants to have tools to hedge their price risk against any currency.
CFTC Releases Request for Comment for Swaps Data Overhaul
News  |  3/21/2014  | 
To boost comprehensive reporting of swap-market data, the CFTC released a request for comment for improved solutions.
3 Things You Can't Put Off On World Backup Day
News  |  3/20/2014  | 
A friendly PSA to backup files and test disaster recovery plans
Attorney General Calls HFT Advantages "Insider Trading 2.0"
News  |  3/18/2014  | 
Attorney General Eric T. Schneiderman wants to eliminate the "fundamentally unfair" advantages exclusively provided to high frequency trading firms.
New Datacenter Strategies Are Flexible And Just-In-Time
News  |  3/13/2014  | 
Financial services IT shops are in the process of moving from fixed capacity datacenters to strategies that stress flexibility, responsiveness and, above all, lower costs.
What Did Deceased IT Exec Know About Madoff Ponzi Scheme?
News  |  3/13/2014  | 
A defense attorney suggested that Liz Weintraub, Madoff's deceased former head of IT, helped devise the deceptive code that enabled the Ponzi scheme, and not his clients, two ex-programmers.
Two Industry Experts Relaunch Market Structure Consulting Firm
News  |  3/11/2014  | 
Christopher Nagy teamed with Dave Lauer to relaunch KOR Group, focusing on data-backed research, while lobbying for more transparency in U.S. equities market structure.
Central Bank Regulations: What You Need to Know Now
News  |  3/10/2014  | 
Recent regulatory changes should improve transparency and liquidity. But there remain a lot of uncertainties.
Thomson Reuters Sets Up Subsidiary to Beef Up Governance of Financial Benchmarks
News  |  3/10/2014  | 
Regulated by the U.K.'s Financial Conduct Authority, the new subsidiary will house Thomson Reuters' portfolio of 160 global benchmarks, as it prepares for stricter global regulations.
Why Bitcoin Won’t Die
News  |  3/7/2014  | 
Despite the headlines following Mt. Gox, Bitcoin is stronger and more resilient than it appears.
Embracing Digital: JPMorgan Chase Rethinks Delivery
News  |  3/3/2014  | 
A new approach to branches, a dynamic competitive environment and the implications of $2 billion in compliance-related investment were among the topics covered by CEO Jamie Dimon and his management team at the bank’s recent Investor Day.
After the Mt. Gox Collapse, Wall Street is Wary of Bitcoin
News  |  2/28/2014  | 
In the wake of the Mt. Gox bankruptcy filing, Wall Street firms are unlikely to get involved in virtual currencies unless there is regulatory oversight.
How to Craft a Legal Social Media Policy for Employees
News  |  2/28/2014  | 
Organizations often have to consider a number of competing interests when crafting a legal and compliant social media policy.
SIP to Get Tech Upgrades, While Consultant Hired to Conduct RFPs
News  |  2/26/2014  | 
The UTP SIP committee unanimously approved technology enhancements for a key market data feed, and also hired Jordan & Jordan to conduct two RFPs to replace Nasdaq when its contract officially runs out.
ING Goes Social: Rolls Out LinkedIn for Advisors
News  |  2/24/2014  | 
Despite regulatory hurdles, ING will support preapproved and FINRA compliant LinkedIn profiles for its 2,400 advisors.
How Well Do We Really Understand Information Security?
News  |  2/20/2014  | 
Information security is very important, but most people think they know it and that's half the problem.
5 Technology Initiatives for the Buy-Side
News  |  2/13/2014  | 
It's time to cross items off the to-do list. Say goodbye to legacy systems and silos, focus on IBOR investment and critical IT system updates.
Asset Manager and Credit Suisse Execute First Sponsored-Access Trade with Goldman on Bloomberg SEF
News  |  2/12/2014  | 
In the run-up to the CFTC's mandatory trading deadline on SEFs, NISA Investment Advisors indicated that sponsored access is the preferred approach for accessing the swaps market.
U.S. Buy Side Focus Shifts to Investment Performance, Says Linedata Study
News  |  2/11/2014  | 
The trend is driven by the completion of post-crisis regulation deployments by U.S. asset managers while E.U. firms remain focused on implementing new regulations.
SEC Meter Maid Nabs 2 For Bad Parking
News  |  2/10/2014  | 
For smaller firms, recent "parking scheme" charges should be call to arms to enhance surveillance platforms.
Could SEF Aggregation be the Next Big Thing in Swaps?
News  |  2/7/2014  | 
With SEF trading becoming mandatory on Feb. 15 for certain interest-rate swaps and continues to evolve, industry watchers are waiting to see if SEF aggregation will emerge to help the buy side connect with multiple SEFs.
Liquid Bolsters Pre-Trade Compliance in Private Cloud-Based OEMRS
News  |  2/5/2014  | 
Hedge fund managers are demanding compliance aggregation and risk measurement tools to generate alpha and prove they have institutional quality controls.
Companies Are Banning E-mail to Improve Efficiency
News  |  2/5/2014  | 
Doing away with internal e-mail may not be as crazy as it sounds.
Adding Context to Social Archives is No Picnic
News  |  1/30/2014  | 
Social information is racking up eDiscovery costs, and surprisingly easy to manipulate.
Capital Markets in Transition, Regulators on Watch
News  |  1/30/2014  | 
The promise of returns and threat of catastrophic failure is pushing trading firms to the edge.
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Wall Street & Technology - July 2014
In addition to regular audits, the SEC will start to scrutinize the cyber-security preparedness of market participants.
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