Compliance
News & Commentary
Facial Analysis: Wall Street's Next Big-Data Tool
Jeff Bertolucci,
Researchers at the New Jersey Institute of Technology are analyzing facial expressions of corporate execs, as well as other data streams, to forecast stock market trends.
By Jeff Bertolucci ,
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MiFID2: Filling in the Gaps
Senthil Radhakrishnan, VP for Capital Market Solutions Practice,Virtusa Consulting Private LtdCommentary
The final rules and technical specifications for MiFID2 are still being ironed out. Here's what you need to know now about the pending rules changes.
By Senthil Radhakrishnan VP for Capital Market Solutions Practice,Virtusa Consulting Private Ltd,
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SEC Examinations: What to Expect When the SEC Is on Its Way
Becca Lipman, Senior EditorCommentary
Theodore Eichenlaub highlights trends in SEC expectations and how to approach a risk assessment of your compliance program.
By Becca Lipman Senior Editor,
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SCI: A Whale of a Regulation
Jennifer Costley, Ph.D, Principal, Ashokan AdvisorsCommentary
The SEC's Reg SCI weights in at a whopping 742 pages. Here is what you need to know about the oversized regulation.
By Jennifer Costley, Ph.D Principal, Ashokan Advisors,
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Stop Using Spreadsheets for Disclosure Management, Says Linedata
Becca Lipman, Senior EditorCommentary
The rules for aggregating and calculating disclosures vary tremendously across global jurisdictions, getting well ahead of traditional approaches. Interest in automated solutions rises.
By Becca Lipman Senior Editor,
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Finra to Focus on Fixed Income ATSs & Algo Providers
Ivy Schmerken, Editor at LargeNews
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.
By Ivy Schmerken Editor at Large,
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SEC Chairman Discusses Rule Changes on HFT
Ivy Schmerken, Editor at LargeNews
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.
By Ivy Schmerken Editor at Large,
Comment2 comments  |  Read  |  Post a Comment
Technology & Compliance Biggest Setback in Social Strategy
Becca Lipman, Senior EditorCommentary
Wells Fargo says better social aggregation and search technology will help financial firms put their people back into the social realm.
By Becca Lipman Senior Editor,
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Droit Taps Industry Veterans as Advisors to Its Derivatives Compliance Platform
Ivy Schmerken, Editor at LargeNews
Droit Financial Technologies appointed former ISDA CEO Robert Pickel, fintech specialist Mark Beeston, and former UBS executive Seth Cohen to join a new advisory board that will broaden the conversation about derivatives compliance.
By Ivy Schmerken Editor at Large,
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After Scandals & Ethical Lapses, Financial Industry Needs a Code of Conduct
Ivy Schmerken, Editor at LargeNews
A financial markets trade body is bringing a model code of conduct to participants who work in interest rates, FX, commodities, and derivatives. After a series of fines, can this help banks repair their reputations?
By Ivy Schmerken Editor at Large,
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Manage Data to Meet Compliance Demands
Anne Rawland Gabriel, Technology writer and marketing communications consultantNews
With no end to the data and information glut in sight, firms are seeking better ways to aggregate, analyze, and manage data to satisfy compliance and competitive demands.
By Anne Rawland Gabriel Technology writer and marketing communications consultant,
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Buy Side Vets Research Providers with Standardized Questions
Ivy Schmerken, Editor at LargeNews
Buy-side concerns over insider trading led Castine Consulting and Integrity Research to launch a cloud-based platform that standardizes due diligence questionnaires posed to research providers.
By Ivy Schmerken Editor at Large,
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FATCA Compliance Still Global Nightmare
Becca Lipman, Senior EditorCommentary
In a survey of finance executives, 67% report that the complexity of FATCA requirements is the top hurdle to achieving compliance.
By Becca Lipman Senior Editor,
Comment9 comments  |  Read  |  Post a Comment
4 Factors Driving Enlightenment & Big-Data Adoption in Regulatory Compliance
Ahson Pai, Partner, SunGard Consulting ServicesCommentary
Whether seeking to maintain compliance or to drive business value, emerging technologies can unleash tremendous potential.
By Ahson Pai Partner, SunGard Consulting Services,
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Get Ready for RDA
Greg MacSweeney, Editorial DirectorNews
The deadline for Risk Data Aggregation (RDA) is approaching quickly. Is your bank ready?
By Greg MacSweeney Editorial Director,
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SECís CIO Grows Tech by Leaps & Bounds
Greg MacSweeney, Editorial DirectorNews
Tom Bayer, CIO for the SEC, has helped the agency improve its systems to better monitor todayís electronic markets.
By Greg MacSweeney Editorial Director,
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The FSB's Swaps Data Aggregation Report, a Technical Review
Allan Grody, President of Financial Intergroup Holdings LtdCommentary
The Report discusses legal, technological, and regulatory issues to be resolved in order to obtain a complete view of swap transactions around the world.
By Allan Grody President of Financial Intergroup Holdings Ltd,
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Asia/Pacific Challenged by T+2 European Settlement Cycle
Becca Lipman, Senior EditorCommentary
A survey commissioned by Omgeo shows market participants in Asia/Pacific are ill prepared for Europe's T+2 settlement deadline in October.
By Becca Lipman Senior Editor,
Comment1 Comment  |  Read  |  Post a Comment
Markit Collaboration Services Directory Integrated With Reuters Eikon Messenger
Becca Lipman, Senior EditorNews
The integration is helping users access and collaborate more efficiently with a community of over 250,000 financial professionals.
By Becca Lipman Senior Editor,
Comment4 comments  |  Read  |  Post a Comment
SEC Commissioner Urges Agency to Reform Equities & Fixed Income Markets
Ivy Schmerken, Editor at LargeNews
In a speech this week, SEC Commissioner Dan Gallagher said the SEC must act on the opaque fixed income markets and put Reg NMS under the microscope.
By Ivy Schmerken Editor at Large,
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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.