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Our Thought Leaders...
Regulations Commentary & Analysis
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On the anniversary of its founding, the New York Stock Exchange shows signs of strength in an uncertain world.Be the first to comment
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CFTC commissioners compromised on key rules that now require asset managers to contact two banks for prices on derivatives, rather than five, which was opposed by banks and lobbyists.
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While lawmakers and regulators take a long hard look at high-frequency trading, the firms that trade near the speed of light are donating money like never before.
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The emphasis on speed, order protection, and technology that Regulation NMS brought to U.S. equities is analyzed in an indepth report by Tabb Group, which says it's time to debate the rule's effectiveness.
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Buy side firms preparing for mandatory swaps clearing need to finalize selections of CCP and FCMs as well as onboard clients and test systems by June 10 deadline, according to Woodbine Associates' whitepaper.
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While it’s been a long time coming, we are glad to finally see that the SEC has decided to get more involved in exchange regulation.
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82 percent of financial firms responding to a DTCC survey ranked new regulations and the time and resources required to implement new regulations as a top 10 risk facing the industry.
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The European electronic fixed income marketplace will allow the buy side to directly access prices and execute European and U.S. government, agency, mortgage, and corporate bonds with major dealers.
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As an alternative to licensing expensive software, DataArt is offering free Form PF software that simplifies the implementation of automated filings for hedge funds/investment advisers.
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The change in status will allow the pan-European MTF to compete directly with stock exchanges across Europe including the LSE and Deutsche Borse.
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The vast majority of corporate end users of derivatives are underprepared for compliance with both rule sets due to regulatory uncertainty, over cross-border swaps, according to a survey by Chatham Financial.
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Institutional broker dealer Susquehanna Financial Group extended its relationship with SunGard's Protegent as the firm’s platform for trading compliance of its institutional equities trading business.
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The industry-owned utility is asking a federal court to overturn the CFTC's approval of rules allowing CME and ICE to run SDRs.
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Regulation of dark pool trading in Europe is still in progress, with equity investors closely watching actions by the European Commission, European Parliament and the Presidency of the Council of the European Union.
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Binary options can have a positive impact on a variety of markets, though they might be misunderstood by regulators.
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Professor Bernard Donefer of Baruch College and Sal Arnuk, Partner at Themis Trading went head-to-head on regulation, technology and politics surrounding the controversial practice of HFT.
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Enables financial advisors, asset managers and other professionals to create an online presence by using Twitter, LinkedIn and Facebook, while including tools to ensure compliance with the SEC/FINRA's guidelines.
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The electronic FX platform trading platform has a proposal to reduce the speed advantage of HFT players because the technology arms race has gotten out of hand.
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The firm's EMS now offers midpoint pricing on FX pre-spot, forwards, NDFs and swap deal types, ahead of the regulation's deadline on May 1st.
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One software expert said that CBOE's software problem was a sign that exchanges are rushing out software and that the SEC needs to do more with compliance to set a level playing field.
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There is renewed move to integrate finance and risk data at sell-side firms for cash optimization and, equally as important, transparency. So how can you get these two groups to cooperate to achieve a unified view?
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A hedge fund manager focusing on real estate picked Northpoint's Form PF filing services to deal with all operational aspects from data collection to electronic submission.
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In Part II of their series, Capco consultants examine Canada’s new rules on dark pools, comparing the similarities and differences in the way that dark pools are regulated in Canada versus the United States.
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There is no doubt that the regulatory reforms under way will change the way European market participants trade fixed income. Forward-thinking market participants should prepare for requirements relating to clearing, trade reporting, transparency, and regulation of trading venues, and certainly a move towards electronic trading.
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The confusion around high frequency trading and algorithmic trading is not helping the discussion of new regulations.
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