Improving the Policing of Electronic MarketsFebruary 05, 2013While insider trading convictions continue to pile up, SEC chairman nominee Mary Jo White needs to focus on improving market surveillance and data analysis in order to really bolster investor confidence.
Surveillance and Monitoring Through the Looking GlassNovember 21, 2012Looking ahead to 2013, European regulations are stepping up the need for automated surveillance and monitoring solutions on the buy side, writes SunGard Protegent's, Magnus Almqvist, who says firms must have audit trails and quick answers to questions on s
Trade Reporting, Surveillance Key To ComplianceJanuary 22, 2008With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment.
Compliance Question? Ask NYSEMarch 31, 2006NYSE Regulation unveiled Ask Market Surveillance, a software-based legal research tool intended to help floor members and their legal and compliance officers answer questions about NYSE trading rules.
NYSE Regulation to Launch Ask Market SurveillanceFebruary 16, 2006Member firms and their compliance staffs will soon be able to search an online database for interpretive guidance on NYSE trading rules and submit questions to the NYSE's market surveillance staff.
BOX Moves Ticker to Linux May 25, 2005With minor disruptions and transparency to traders in mind, The Boston Stock Exchange migrates its ticker processing system to Linux.