Content tagged with Compliance posted in August 2011
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BATS Gets SEC's Nod for U.S. Primary Listings
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
The new service aims to help firms locate data and assess risks from lost data.
Why The SEC Should Finally Be Scrapped
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
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
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
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
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
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
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
The first SEC deadline for private fund (Form PF) reporting currently less than six months away.
SEC's Document Disposal Policy in Disarray
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
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
Buffet's Call for Tax Increases on Mega-Rich Are Wishful Thinking
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'
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
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.
S&P Balks at SEC Proposal to Reveal Rating Errors
The credit agency resists government scrutiny, thank you very much.
Insider Trading: Who Is In the SEC Crosshairs?
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
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.
Hedge Fund Stars Profit in Global Debt Crisis
In the wake of a 500-point drop on the Street, managers bet on gold, dollar, CDS and bank stocks.
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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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