Compliance
News & Commentary
Canada's Securities Depository Now a Pre-LOU, Part of Global LEI System
Becca Lipman, Senior EditorNews
Canada's national securities depository, clearing, and settlement service was endorsed as a Pre-LOU ahead of the Oct. 31 trade reporting deadline.
By Becca Lipman Senior Editor,
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SEC Vote Is Drama for the Masses, With No Happily Ever After
Paul Soltis, North American Market Manager for ConfluenceCommentary
All of them hoped it would never come to this.
By Paul Soltis North American Market Manager for Confluence,
Comment3 comments  |  Read  |  Post a Comment
Predictions Come True as Regulators Swoop
Dr. John Bates, CTO, Intelligent Business Operations & Big Data, Software AGCommentary
While two out of the five capital markets predictions from July have already come true, let's hope that all five don't actually happen.
By Dr. John Bates CTO, Intelligent Business Operations & Big Data, Software AG,
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SEC Reforms: What Floating NAVs Mean for Money Market Funds & Accounting Software
James Sanford, Founder and Portfolio ManagerCommentary
Money market accounts are a $2.6 trillion industry that impacts nearly every investor who parks cash, so a new SEC rule has major ramifications for a large number of investors.
By James Sanford Founder and Portfolio Manager,
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Flip Sides of the Same Coin: Compliance & Transparency
Neil Gray, Vice President of Product Marketing, IPC SystemsCommentary
The upheaval caused by the 2008 financial crisis continues to ripple outward, creating an unsettled environment that has disrupted traditional measures of trust.
By Neil Gray Vice President of Product Marketing, IPC Systems,
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London Stock Exchange Group's UnaVista Boosts Presence in North America
Ivy Schmerken, Editor at LargeNews
As banks and asset managers grapple with EMIR Phase II of European derivatives rules, LSEG's UnaVista emerges as a major player in post-trade, regulatory reporting.
By Ivy Schmerken Editor at Large,
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8 Things You Probably Donít Know About BCBS 239
Jennifer Costley, Ph.D, Principal, Ashokan AdvisorsCommentary
The Basel Committee on Banking Supervisionís rules for risk reporting are extensive and apply to more financial firms than just the global, systemically important banks.
By Jennifer Costley, Ph.D Principal, Ashokan Advisors,
Comment2 comments  |  Read  |  Post a Comment
Accurate Timestamps for Electronic Trading Are a Must
Donal Byrne, CEO, CorvilCommentary
A debate has emerged with the SEC on the need to collect timestamps on multi-party electronic trading data. But what is sufficiently accurate? Is it seconds, milliseconds, microseconds, or nanoseconds?
By Donal Byrne CEO, Corvil,
Comment12 comments  |  Read  |  Post a Comment
FATCA: A US Regulation That's Having a Global Impact
Mark Davies, General Manager, AvoxCommentary
FATCA has raised the stakes for data quality and the need for "clean data."
By Mark Davies General Manager, Avox,
Comment10 comments  |  Read  |  Post a Comment
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,
Comment4 comments  |  Read  |  Post a Comment
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,
Comment1 Comment  |  Read  |  Post a Comment
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,
Comment14 comments  |  Read  |  Post a Comment
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,
Comment3 comments  |  Read  |  Post a Comment
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,
Comment12 comments  |  Read  |  Post a Comment
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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.