-
Our Thought Leaders...
Regulations Commentary & Analysis
-
-
-
Just because regulators are gaining an IT advantage in market surveillance it doesn't mean that broker-dealers can relax. If they want to avoid fines and keep their trading license, remaining vigilant against suspicious trades and compliance infractions is still Job One.Be the first to comment
-
-
-
-
A panel of Wall Street executives warmed up to the idea of reporting dark pool volumes on a monthly basis, as they debated U.S. equity market structure.
-
-
-
-
The U.S. options exchange operator agreed to pay $6 million for failure to police short selling abuses and for interfering in the investigation of a member firm.
-
-
-
-
BofA Merrill Lynch, J.P. Morgan, UBS, and Barclays confirmed their support for the new OTC derivatives reporting standard.
-
-
-
-
The derivatives platform demonstrated electronic pre-trade credit checking with an FCM for cleared swaps, using both ping and push protocols.
-
-
-
-
In a letter to the operators of 15 dark pools, Finra asked for more detail about who knows what happens in these unlit exchanges.
-
-
-
-
The notional size of the Eris swap futures contracts were modified by a factor of 10 in response to user demand from buy side firms in advance of the June 10 clearing deadline.
-
-
-
-
Interdealer broker GFI hired James Toffey, the co-founder and former CEO of Tradeweb, to spearhead its plans to launch regulated trading platforms for cash, derivative financial and commodities products in the U.S. and Europe.
-
-
-
-
Succession Systems said that Newedge deployed its software to check orders in real time before they are submitted to exchanges in Canada and the U.S.
-
-
-
-
The former Federal Reserve Chairman said that six regulatory bodies in the U.S. was too many, which he blamed for the stalemate in implementing Dodd Frank.
-
-
-
-
NLX will offer a range of both short- and long-term interest rate euro- and sterling-based listed derivative products with clearing on LCH.Clearnet.
-
-
-
-
The proposed 5 percent cap on dark pool trading could have a sharp impact on asset managers who need the anonymity of unlit trading venues, say critics.
-
-
-
-
After several high-profile arrests for insider trading, the head of the rich yet beleaguered SAC hedge fund may call it quits to avoid jail time.
-
-
-
-
In response to shares of Anadarko Petroleum trading as low as a penny last week, Themis Trading raises questions to Anadarko about the stock's rapid descent in the context of the current market structure.
-
-
-
-
On the anniversary of its founding, the New York Stock Exchange shows signs of strength in an uncertain world.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
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.
-
-
-
-
The change in status will allow the pan-European MTF to compete directly with stock exchanges across Europe including the LSE and Deutsche Borse.
-
-
-
-
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.
-
-
Featured Reports
- InformationWeek 2013 IT Spending Priorities Survey
- Best Practices: Top Mobile Productivity Tools for Finance
- Research: 2012 Bank Systems/Wall Street Salary Survey
- Research: 2013 Mobile Commerce Survey
- PaaS Buyer's Guide
Featured Whitepapers
- CSI's 2013 Annual Banking Priorities Study
- Accelerate software delivery in the complex financial services market
- Building the Airtight Financial Institution: Risk-Aware Network Visualization
- Reduce exception item processing costs: New technology paves the way to new savings
- Optimize Programs and Fulfill Mandate Expectations with Project and Portfolio Governance