Content tagged with Compliance posted in April 2009
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Hedge Funds Expect Regulatory Hammer to Fall Within Six Months
The hedge fund community are scrambling to update technology to meet new regulations, which are expected within the next six months.
SEC Starts Tweeting In Effort To Revamp Image and Increase Transparency
The watchdog recently took a severe and prominent battering in the Bernard Madoff fraud case, which agents failed to stop despite the best efforts of whistleblower Harry Markopoulos.
Bringing Transparency to Pricing and Valuations
Celent provides perspectives on trends in OTC derivatives and structured product pricing practices in anticipation of coming market reform.
The Downside of an Uptick Rule
An uptick rule would slow trading and remove liquidity from dark pools -- but it won't curb short selling.
The Undesireable Effects of Banning Short Sales
EDHEC position paper lists the negative consequences of the short selling ban
SS&C Adheres to ISDA CDS Standards with New Release
SS&C Technologies has released Debt & Derivatives 2009.1.0, an important update to SS&C's derivatives accounting management and reporting solution.
Algorithmics Names Top 5 Liquidity Risk Issues
Algorithmics has outlined the Top 5 issues that banks must think about now to assess their policies, procedures and systems for compliance with the FSA’s new liquidity risk regime, which will be finalized this month.
SEC Outlines Potential Short Sale Curbs
The SEC has begun a public comment period over a set of proposed rules set forward in an effort to curb short selling.
Feeder Funds: Recent Charges Signal Accountability
The fraud complaint against Fairfield Greenwich is a positive sign that regulators are holding firms accountable and more could be on the way, says Ken Springer, founder and president of Corporate Resolutions Inc., a firm that conducts background checks for hedge funds, private equity firms and others.
G-20 Takes Shape Around Regulation
As the G-20 gets underway, regulation is the big theme, and countries are starting to pledge their support to do what's necessary to help their economies.
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Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.
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