Wall Street & Technology is part of the Informa Tech Division of Informa PLC
This site is operated by a business or businesses owned by Informa PLC and all copyright resides with them. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Number 8860726.
NSCC Offers to Open Up Trade Fail Data Under Reg SHO
Cory Levine, Wall Street & Technology
The National Securities Clearing Corp. (NSCC) has offered to work with the SEC to promote transparency in clearing and settlement by revealing closely guarded trade failure information sooner than it is currrently doing so. Forbes.com reported the deve
WS&T EXCLUSIVE PREVIEW: Actimize and LexisNexis Unveil CDD Solution
By Cory Levine, Wall Street & Technology
In the modern age of electronic workflow and data management, paper-based processes increasingly are becoming a liability, which is why it was surprising to hear about the large full-service financial services institution that brought together compliance and fraud prevention vendor Actimize, and information services provider LexisNexis.
Registration’s Lingering Effects
It appears as though the ill-fated SEC hedge fund registration requirement will have a lasting effect on many in the hedge fund industry.
Compliance Newsflashes: FSA to be Given Greater Control Over LSE Regulation, and more
U.K. Government Shelters LSE from U.S. Regulations, OCC Expects Phishers to Exploit FFIEEC Deadline, Barclays Gets Phished
Compliance Newsflashes: Lobby Group Urges FSA to Reconsider MiFID Requirement, and more
FOA Attacks MiFID Best Execution Requirement, Securities Firms Continue to Struggle with E-mail, Used Smartphones and PDAs Expose Data in Resale
|