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Commentary
Content posted in November 2012
Insider Trading Investigation Reaches A New Stage
Commentary  |  11/30/2012  | 
Speculation intensified that federal prosecutors are looking at SAC Capital Advisers' owner Steven Cohen, but the government doesn't have enough evidence, a lawyer told American Public Media's Marketplace..
Disaster Recovery Planning After Hurricane Sandy
Commentary  |  11/30/2012  | 
Investment managers without appropriate disaster plans were left facing some difficult decisions in Sandy’s wake.
A Toast to Mary and 10 Suggestions for the New SEC Commissioner
Commentary  |  11/29/2012  | 
Mary Schapiro's efforts to clean up our marketplace are her legacy.
Regulatory Action On Dark Pools Must Be Part of Market Structure Debate
Commentary  |  11/28/2012  | 
With an Increasing Number of Securities Now Trading in Excess of 40% Volume Off-Exchange, Industry Discussions on Dark Trading Must Include Quality and Efficiency of Lit Markets.
Why Are Suitors Vying for Knight Capital?
Commentary  |  11/27/2012  | 
Rival firms are expected to submit bids this week to acquire Knight Capital Group, which could bring the potential acquirer savings in equity trading technology.
Surveillance and Monitoring Through the Looking Glass
Commentary  |  11/21/2012  | 
Looking 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 suitability and personal dealing.
Goldman’s Blankfein Says Entitlements Must Be Slowed, Contained
Commentary  |  11/20/2012  | 
Goldman Sachs’ CEO says the deficit cannot be fixed without changes to Social Security, Medicare and Medicaid.
Stephen Colbert Takes on HFT
Commentary  |  11/15/2012  | 
Stephen Colbert says the finance sector is safer now because Wall Street has removed the weakest link: man.
Technology Fragility Threatens Markets
Commentary  |  11/15/2012  | 
Despite disaster recovery and business continuity plans that were implemented after Sept. 11 and then enhanced following the Northeast blackout in 2003, Hurricane Sandy has upped the DR/BC bar once again.
SEC Intensifies the Knight Probe and Shifts Focus to Risk Controls
Commentary  |  11/14/2012  | 
The regulatory investigation of Knight Capital's trading glitch on Aug.1 could turn into a lesson for Wall Street on how the regulator will enforce the new market access rule.
DDoS Attacks on Financial Industry: Ignoring Them Won’t Make Them Go Away
Commentary  |  11/9/2012  | 
After more than a decade of DDoS attack evolution, the information security profession employed by banks, is still is not equipped to deal with the problem, argues Jeffrey Lyon, president of Black Lotus.
2012: Year of the Busted Broker and Buy Side Trader
Commentary  |  11/6/2012  | 
It was a bad year for brokers and the buy side but it was a wonderful time to be a cold-eyed observer.
5 Ways to Restore Confidence in Technology for Capital Markets' CTOs
Commentary  |  11/6/2012  | 
In the wake of recent technology glitches, Greenline's President Josh Tolman sets priorities for chief technology officers to safeguard their systems and avoid future breakdowns.
Did PwC's Role as Auditor Rubber Stamp MF Global's Internal Controls and Allow it to Raid Customer Funds?
Commentary  |  11/5/2012  | 
PricewaterHouse Coopers was added to a lawsuit by MF Global Customers, which accused it of turning a blind eye to the firm's internal controls.
Broker Says Nasdaq Caused Excessive Quote Spam in Several Stocks
Commentary  |  11/2/2012  | 
Nasdaq rebuts charge from Themis Trading that its new pricing programs led to quote spamming.


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