Content posted in February 2010
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The Marriage of Compliance and Risk
With a new regulatory regime in the offing, and the promise of more stringent controls likely to be fulfilled, Matt Grinnell of Fidessa LatentZero looks at how asset management firms can prepare themselves by breaking down the barriers between legal, risk management and compliance teams.
SEC Risk Proposal: A Fair Start But Lacking Specifics
The SEC risk management proposal advocating baseline operational risk controls is a good-faith attempt by regulators to augment risk management within brokers and broker/dealers, however, the SEC leaves too much discretion of acceptable practices to the discretion of the firms whose activities require control.
E-trading: "Missing Link" To More Efficient OTC Derivatives Space
Proposed enhancements to the OTC derivatives markets will not be complete until market participants fully incorporate solutions for greater price transparency and efficient trade processing - which necessitates the use of electronic trading platforms.
The Perils of a Financial Services Transaction Tax
A financial transaction tax could generate $150 billion in income, but it could also hurt retail investors in the long run.
Smart Regulation: Is It Possible?
In a new research report from Aite Group, Paul Zubulake examines the various key components of financial regulation being considered by the U.S. Senate today, the likelihood of each being implemented, and in what ultimate form.
After a Lull, Algo Innovation Set to Heat Up in 2010
Algorithm news may have seemed to quiet down, but many firms have been working hard behind the scenes, and now they are ready to make big changes this year.
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Exclusive: Inside the GETCO Execution Services Trading Floor
Advanced Trading takes you on an exclusive tour of the New York trading floor of GETCO Execution Services, the solutions arm of GETCO.
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