Compliance
News & Commentary
Hedge Funds Face Compliance Hurdles of AIFMD
Ivy Schmerken, Editor at LargeNews
Alternative funds selling to European investors must meet ESMA's strict guidelines for trader reporting, risk controls, and valuations -- similar to SEC's Form PF.
By Ivy Schmerken Editor at Large,
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Reputational Risk Drives Social Media Processes
Anne Rawland Gabriel, Technology writer and marketing communications consultantNews
In a recent study, reputational risk exceeded compliance as the top concern for financial services organizations with respect to social media.
By Anne Rawland Gabriel Technology writer and marketing communications consultant,
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Barclays Disputes NY Attorney General's Dark Pool Allegations
Ivy Schmerken, Editor at LargeNews
Asking a court to dismiss the NYAG's lawsuit, Barclays contends that highly sophisticated traders were not misled about high-frequency traders in its dark pool.
By Ivy Schmerken Editor at Large,
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Initial Margin: When Does More Turn Out to Be Less?
Paul Jones, Director, MarkitCommentary
Changing margin regulations are set to affect the OTC derivative market, including initial margin risk models for non-cleared OTCs.
By Paul Jones Director, Markit,
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Surviving & Thriving in the Current Risk Management & Regulatory Environment
Bill Kramer, Senior Vice President, Product Management, Linedata Lending and LeasingCommentary
How financial institutions can leverage compliance initiatives to improve their business with a 360-degree view of the customer.
By Bill Kramer Senior Vice President, Product Management, Linedata Lending and Leasing,
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Hedge Fund Readiness for AIFMD Is Lacking as Deadline Approaches
Ivy Schmerken, Editor at LargeNews
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.
By Ivy Schmerken Editor at Large,
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IT Salary Survey 2014: Insurance
InformationWeek Staff,
Insurance IT salaries are flat, but demand and compensation are highest for people with experience in social media, mobile, analytics, and cloud, according to InformationWeek's 2014 US IT Salary Survey.
By InformationWeek Staff ,
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Compliance Technology: The Art of Playing Your Part
Simon Richards, CEO, Fonetic USACommentary
Though the Dodd-Frank Act is four years old, only 52% of the rules have been completed, and less than one-third of financial firms feel they are prepared to meet the upcoming compliance challenges.
By Simon Richards CEO, Fonetic USA,
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Fraud Charges Against Barclays Rock the Dark Pool World
Ivy Schmerken, Editor at LargeNews
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.
By Ivy Schmerken Editor at Large,
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Is Compliance Preventing the Cloud From Reaching Its True Potential?
Michael Gabriel, Director, Data Protection Practice at NTT Com SecurityCommentary
86% of businesses admit issues around data protection, legislation, and regulation are responsible for their slow adoption of cloud computing.
By Michael Gabriel Director, Data Protection Practice at NTT Com Security,
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The SEC & Cybersecurity: Expectations & Exam Prep for Investment Firms
Steve Schoener, Vice President, Eze Castle IntegrationCommentary
The current SEC questionnaire asks firms for details about their technology infrastructure, operational policies, and procedures as they relate to cybersecurity.
By Steve Schoener Vice President, Eze Castle Integration,
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Debate Over Conflicts of Interest in Equity Markets Rages On
Ivy Schmerken, Editor at LargeNews
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.
By Ivy Schmerken Editor at Large,
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Higher Demand for Market Data in Compliance Investigations
Becca Lipman, Senior EditorNews
An emerging trend of risk-and-compliance officers requesting specific blocks of market data suggests new opportunity for information providers.
By Becca Lipman Senior Editor,
Comment3 comments  |  Read  |  Post a Comment
What Really Matters When Transparency & Stability Matter in Markets
Sinan Baskan, Vice President, Capital Markets, SAPCommentary
The high-frequency trading debate carries on, but are the right questions being asked? Scrutiny of incentives and defining 'fair' competition should merit more attention.
By Sinan Baskan Vice President, Capital Markets, SAP,
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Consider Yourself Served: The Rules Havenít Changed, But Technology Has
Brad Harris, VP of Legal Products, ZapprovedCommentary
Eight to 10 individual employee lawsuits have been dismissed for failure to preserve Facebook and other social media, text messages, email, and other records connected to the case.
By Brad Harris VP of Legal Products, Zapproved,
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The Dawn of High-Frequency Compliance: Will You Win the White-Hat Arms Race?
Mitchel Kraskin, Co-founder and CEO, Compliance ScienceCommentary
Don't look now: The SEC is actively increasing IT spend and quant recruitment to enhance forensics in financial management systems. The implications for the financial services industry are enormous.
By Mitchel Kraskin Co-founder and CEO, Compliance Science,
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Where Are We Now? The Era of Trade Surveillance Automation
Becca Lipman, Senior EditorNews
"For the first time compliance and surveillance people are demanding access to data instead of running away in fear from it."
By Becca Lipman Senior Editor,
Comment10 comments  |  Read  |  Post a Comment
SEC Charges Against Wedbush Securites Raise Issues With Direct Risk Controls
Ivy Schmerken, Editor at LargeNews
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.
By Ivy Schmerken Editor at Large,
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Target Hires GM Exec As First CISO
Kristin Burnham, Senior Editor, InformationWeek.com
Target names Brad Maiorino as its first chief information security officer to oversee the company's security and technology risk strategy.
By Kristin Burnham Senior Editor, InformationWeek.com,
Comment6 comments  |  Read  |  Post a Comment
The FX Debacle: Another Failure in Compliance Controls
Stephen Anikewich, Head, US Compliance, NICE ActimizeCommentary
The manipulations in the FX markets show that self regulation will only go so far and that dealers will have to vastly improve existing compliance technology.
By Stephen Anikewich Head, US Compliance, NICE Actimize,
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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.
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.