News & Commentary
Latest Content tagged with Compliance
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Bitcoin Taxation: A Gift From the IRS & the Coffee Problem
Commentary  |  12/30/2014  | 
Every bitcoin transaction requires a gain or loss calculation between acquired cost basis and the amount it was sold for. This is no problem for large blocks, but on everyday purchases, a gain or loss calculation on every $1.79 cup of coffee is a lot of calculating.
2014 in Review: Looking Back at a Year in Risk
Commentary  |  12/29/2014  | 
Although the financial markets escaped having a rogue trading incident, 2014 brought a host of incidents ranging from cyber security and FX rigging to anti-money laundering and insider trading.
2015 Prediction: FinServ & Regulators Will See Opportunity in Internet of Things
Commentary  |  12/23/2014  | 
The Internet of Things still seems a bit foreign to capital markets, but next year may be the start of conversations, investment, and regulations on how firms can incorporate the world of sensor data.
MiFID2: Filling in the Gaps
Commentary  |  12/4/2014  | 
The final rules and technical specifications for MiFID2 are still being ironed out. Here's what you need to know now about the pending rules changes.
SEC Examinations: What to Expect When the SEC Is on Its Way
Commentary  |  11/26/2014  | 
Theodore Eichenlaub highlights trends in SEC expectations and how to approach a risk assessment of your compliance program.
SCI: A Whale of a Regulation
Commentary  |  11/24/2014  | 
The SEC's Reg SCI weights in at a whopping 742 pages. Here is what you need to know about the oversized regulation.
Stop Using Spreadsheets for Disclosure Management, Says Linedata
Commentary  |  11/17/2014  | 
The rules for aggregating and calculating disclosures vary tremendously across global jurisdictions, getting well ahead of traditional approaches. Interest in automated solutions rises.
Finra to Focus on Fixed Income ATSs & Algo Providers
News  |  11/12/2014  | 
Finra CEO Richard Ketchum outlines plans for requiring brokers that use fixed-income "RFQ systems" to provide more pre-trade price transparency to customers. In equities, Finra wants to register firms involved in designing algorithms.
SEC Chairman Discusses Rule Changes on HFT
News  |  11/11/2014  | 
SEC Chair Mary Jo White discussed HFT and the agency's plans for equity market structure in 2015 in a video interview with Bloomberg Market Makers at the SIFMA annual meeting.
Technology & Compliance Biggest Setback in Social Strategy
Commentary  |  11/10/2014  | 
Wells Fargo says better social aggregation and search technology will help financial firms put their people back into the social realm.
Droit Taps Industry Veterans as Advisors to Its Derivatives Compliance Platform
News  |  10/22/2014  | 
Droit Financial Technologies appointed former ISDA CEO Robert Pickel, fintech specialist Mark Beeston, and former UBS executive Seth Cohen to join a new advisory board that will broaden the conversation about derivatives compliance.
After Scandals & Ethical Lapses, Financial Industry Needs a Code of Conduct
News  |  10/15/2014  | 
A financial markets trade body is bringing a model code of conduct to participants who work in interest rates, FX, commodities, and derivatives. After a series of fines, can this help banks repair their reputations?
Manage Data to Meet Compliance Demands
News  |  10/10/2014  | 
With no end to the data and information glut in sight, firms are seeking better ways to aggregate, analyze, and manage data to satisfy compliance and competitive demands.
Buy Side Vets Research Providers with Standardized Questions
News  |  10/8/2014  | 
Buy-side concerns over insider trading led Castine Consulting and Integrity Research to launch a cloud-based platform that standardizes due diligence questionnaires posed to research providers.
FATCA Compliance Still Global Nightmare
Commentary  |  10/7/2014  | 
In a survey of finance executives, 67% report that the complexity of FATCA requirements is the top hurdle to achieving compliance.
4 Factors Driving Enlightenment & Big-Data Adoption in Regulatory Compliance
Commentary  |  10/1/2014  | 
Whether seeking to maintain compliance or to drive business value, emerging technologies can unleash tremendous potential.
Get Ready for RDA
News  |  10/1/2014  | 
The deadline for Risk Data Aggregation (RDA) is approaching quickly. Is your bank ready?
SECís CIO Grows Tech by Leaps & Bounds
News  |  10/1/2014  | 
Tom Bayer, CIO for the SEC, has helped the agency improve its systems to better monitor todayís electronic markets.
The FSB's Swaps Data Aggregation Report, a Technical Review
Commentary  |  9/30/2014  | 
The Report discusses legal, technological, and regulatory issues to be resolved in order to obtain a complete view of swap transactions around the world.
Asia/Pacific Challenged by T+2 European Settlement Cycle
Commentary  |  9/30/2014  | 
A survey commissioned by Omgeo shows market participants in Asia/Pacific are ill prepared for Europe's T+2 settlement deadline in October.
Markit Collaboration Services Directory Integrated With Reuters Eikon Messenger
News  |  9/24/2014  | 
The integration is helping users access and collaborate more efficiently with a community of over 250,000 financial professionals.
SEC Commissioner Urges Agency to Reform Equities & Fixed Income Markets
News  |  9/18/2014  | 
In a speech this week, SEC Commissioner Dan Gallagher said the SEC must act on the opaque fixed income markets and put Reg NMS under the microscope.
With UCITS V, $9T Isnít as Easy as It Used to Be
Commentary  |  9/18/2014  | 
With UCITS V's restrictive remuneration rules and hidden costs, going global may get a little less attractive.
Canada's Securities Depository Now a Pre-LOU, Part of Global LEI System
News  |  9/12/2014  | 
Canada's national securities depository, clearing, and settlement service was endorsed as a Pre-LOU ahead of the Oct. 31 trade reporting deadline.
SEC Vote Is Drama for the Masses, With No Happily Ever After
Commentary  |  8/21/2014  | 
All of them hoped it would never come to this.
Predictions Come True as Regulators Swoop
Commentary  |  8/19/2014  | 
While two out of the five capital markets predictions from July have already come true, let's hope that all five don't actually happen.
SEC Reforms: What Floating NAVs Mean for Money Market Funds & Accounting Software
Commentary  |  8/18/2014  | 
Money market accounts are a $2.6 trillion industry that impacts nearly every investor who parks cash, so a new SEC rule has major ramifications for a large number of investors.
Flip Sides of the Same Coin: Compliance & Transparency
Commentary  |  8/15/2014  | 
The upheaval caused by the 2008 financial crisis continues to ripple outward, creating an unsettled environment that has disrupted traditional measures of trust.
London Stock Exchange Group's UnaVista Boosts Presence in North America
News  |  8/8/2014  | 
As banks and asset managers grapple with EMIR Phase II of European derivatives rules, LSEG's UnaVista emerges as a major player in post-trade, regulatory reporting.
8 Things You Probably Donít Know About BCBS 239
Commentary  |  8/7/2014  | 
The Basel Committee on Banking Supervisionís rules for risk reporting are extensive and apply to more financial firms than just the global, systemically important banks.
Accurate Timestamps for Electronic Trading Are a Must
Commentary  |  8/7/2014  | 
A debate has emerged with the SEC on the need to collect timestamps on multi-party electronic trading data. But what is sufficiently accurate? Is it seconds, milliseconds, microseconds, or nanoseconds?
FATCA: A US Regulation That's Having a Global Impact
Commentary  |  8/5/2014  | 
FATCA has raised the stakes for data quality and the need for "clean data."
Hedge Funds Face Compliance Hurdles of AIFMD
News  |  7/30/2014  | 
Alternative funds selling to European investors must meet ESMA's strict guidelines for trader reporting, risk controls, and valuations -- similar to SEC's Form PF.
Reputational Risk Drives Social Media Processes
News  |  7/28/2014  | 
In a recent study, reputational risk exceeded compliance as the top concern for financial services organizations with respect to social media.
Barclays Disputes NY Attorney General's Dark Pool Allegations
News  |  7/25/2014  | 
Asking a court to dismiss the NYAG's lawsuit, Barclays contends that highly sophisticated traders were not misled about high-frequency traders in its dark pool.
Initial Margin: When Does More Turn Out to Be Less?
Commentary  |  7/25/2014  | 
Changing margin regulations are set to affect the OTC derivative market, including initial margin risk models for non-cleared OTCs.
Surviving & Thriving in the Current Risk Management & Regulatory Environment
Commentary  |  7/23/2014  | 
How financial institutions can leverage compliance initiatives to improve their business with a 360-degree view of the customer.
Hedge Fund Readiness for AIFMD Is Lacking as Deadline Approaches
News  |  7/17/2014  | 
With the July 22 deadline looming, hedge funds are unprepared to meet the AIFMD data reporting requirements, and they worry about compliance costs, two studies say.
Compliance Technology: The Art of Playing Your Part
Commentary  |  7/14/2014  | 
Though the Dodd-Frank Act is four years old, only 52% of the rules have been completed, and less than one-third of financial firms feel they are prepared to meet the upcoming compliance challenges.
Fraud Charges Against Barclays Rock the Dark Pool World
News  |  6/27/2014  | 
New York State's lawsuit alleges that Barclays marketed the safeguards of its surveillance system to buy-side customers but actually favored high-frequency traders in its dark pool.
Is Compliance Preventing the Cloud From Reaching Its True Potential?
Commentary  |  6/25/2014  | 
86% of businesses admit issues around data protection, legislation, and regulation are responsible for their slow adoption of cloud computing.
The SEC & Cybersecurity: Expectations & Exam Prep for Investment Firms
Commentary  |  6/25/2014  | 
The current SEC questionnaire asks firms for details about their technology infrastructure, operational policies, and procedures as they relate to cybersecurity.
Debate Over Conflicts of Interest in Equity Markets Rages On
News  |  6/24/2014  | 
Last week's Senate hearing explored conflicts of interest faced by brokers that receive payment for order flow and rebates for routing orders to certain trading venues, but many experts warned against immediate change.
Higher Demand for Market Data in Compliance Investigations
News  |  6/24/2014  | 
An emerging trend of risk-and-compliance officers requesting specific blocks of market data suggests new opportunity for information providers.
What Really Matters When Transparency & Stability Matter in Markets
Commentary  |  6/23/2014  | 
The high-frequency trading debate carries on, but are the right questions being asked? Scrutiny of incentives and defining 'fair' competition should merit more attention.
Consider Yourself Served: The Rules Havenít Changed, But Technology Has
Commentary  |  6/19/2014  | 
Eight to 10 individual employee lawsuits have been dismissed for failure to preserve Facebook and other social media, text messages, email, and other records connected to the case.
The Dawn of High-Frequency Compliance: Will You Win the White-Hat Arms Race?
Commentary  |  6/17/2014  | 
Don't look now: The SEC is actively increasing IT spend and quant recruitment to enhance forensics in financial management systems. The implications for the financial services industry are enormous.
Where Are We Now? The Era of Trade Surveillance Automation
News  |  6/13/2014  | 
"For the first time compliance and surveillance people are demanding access to data instead of running away in fear from it."
SEC Charges Against Wedbush Securites Raise Issues With Direct Risk Controls
News  |  6/11/2014  | 
The regulator accused Wedbush of violating the Market Access Rule by allowing customers to set their own risk controls on proprietary and third-party platforms.
The FX Debacle: Another Failure in Compliance Controls
Commentary  |  6/5/2014  | 
The manipulations in the FX markets show that self regulation will only go so far and that dealers will have to vastly improve existing compliance technology.
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