Regulatory Channel :: TabbFORUM - Where Capital Markets Speak

Regulatory Opinion & Analysis

It’s Not About What’s Fair (TABB Group, Larry Tabb) Enabling Platforms For Fast Markets 6 Comments
Account Opening Hits the Bottom Line (Quadron Data Solutions, Sheri Facinelli) Enabling Platforms For Fast Markets
Block That Threshold! (G. M. Bollenbacher & Co., Ltd. , George Bollenbacher) Redefining Enterprise-Wide Compliance
ICE Bets Credit Futures’ Time Is Now (TABB Group, Matt Simon) Innovations in Trading and Technology
Does HKEx Have the Midas Touch? (SunGard’s post-trade solutions, Eric Wicart) Innovations in Trading and Technology
Dark Pools Are Costing US Investors Billions (The University of Sydney - Business School & Capital Markets Cooperative Research Center, Hui Zheng) Mastering Risk 1 Comment
Trade recs: on the fast track or stuck in the sidings? (Gresham Computing, Neil Vernon) Enabling Platforms For Fast Markets
3 Imperatives That Keep Financial Services Execs Awake at Night (SunGard, Harold Finders) Driving Enterprise Transformation
HFT: In Search of the Truth (Independent Consultant, Dave Lauer) Enabling Platforms For Fast Markets 25 Comments
Risk On? (SunGard’s APT, Laurence Wormald) Mastering Risk
The Race to Zero Latency Is a Race to Nowhere (TMX Atrium, Emmanuel Carjat) Enabling Platforms For Fast Markets
New Eyes for New Risks (TABB Group, Paul Rowady) Mastering Risk 12 Comments
Waiting for Uniform Derivatives Rules Is a Losing Proposition (MRV Associates, Mayra Rodriguez Valladares) Redefining Enterprise-Wide Compliance 1 Comment
Making Strides in Counterparty Credit Risk - Seminar hosted by Quantifi, Ernst & Young and PRMIA (Quantifi, Sachvir Cheema) Mastering Risk
MiFID II: Where's My TV Remote? (Fidessa, Steve Grob) Redefining Enterprise-Wide Compliance
The RRP Challenge: How far have you progressed? (Capco, Bernd Richter) Driving Enterprise Transformation
4 Keys to Retaining Top Talent (Capco Consultant, Ian Roth) Driving Enterprise Transformation
New Infrastructures for a Sounder Financial System (DTCC, Michael Bodson) Mastering Risk
Uncertainty abides amidst a flurry of CFTC activity (Fidessa, Mark Brennan) Redefining Enterprise-Wide Compliance
Market Data Storage: Electronic Preppers, or Savvy Gardeners? (NASDAQ OMX, Adam Honore) Innovations in Trading and Technology 5 Comments
Swap Clearing Deadline Anticlimactic (TABB Group, Valerie Bogard) Redefining Enterprise-Wide Compliance
MiFIR: All Systems Go! (TABB Group, Rebecca Healey) Redefining Enterprise-Wide Compliance
The Modern Portfolio Manager Cockpit: Front-to-Back Portfolio and Risk Management (Misys, Pierre-Alois Koch) Powering Intelligent Alpha Capture
How to Build a Modern Hedge Fund (Gravitas, Jayesh Punater) Driving Enterprise Transformation
RBS and Lloyds: Time for a Return to the Private Sector (Policy Exchange, James Barty, Emily Redding) Driving Enterprise Transformation

Block That Threshold!

George Bollenbacher, G. M. Bollenbacher & Co., Ltd.

The CFTC’s block size rule, more than a year in the making, includes a major flaw: The block thresholds don’t account for liquidity or average trade size in a given product. Continue

0 Comments

Regulatory News

SEC will seek admissions of wrongdoing
(MarketWatch)
Deloitte Unit Gets One-Year Ban
(Wall Street Journal)($)
In Crackdown on Bank Consultants, Deloitte Is Fined and Banned
(nytimes.com)
NYSE Attack Said Prevented by U.S. Surveillance Program
(Bloomberg)
Chiasson and Newman to Remain Free During Appeal, Court Rules
(NYTimes)
MEPS back revised FTT proposal
(eFinancial News)($)
A Woman Virtually Nobody Has Heard Of Is On The Verge Of Becoming The Most Powerful Woman In The World
(Business Insider)
Fears grow over reach of post-Libor crackdown
(FT Trading Room)($)
European lawmakers vote for transaction tax
(FT Trading Room ($))
Commodity Futures Trading Commission faces top-level shake-up
(FT Trading Room ($))
Quick View: Hard bargaining starts on Mifid II
(FT Trading Room ($))
In Crackdown on Bank Consultants, Deloitte Is Fined and Banned
(NYTimes)
Regulators to set post-crisis rules for capping bank risk-taking
(Reuters)
The Tax Man Cometh—For Your Bitcoins
(National Journal)
Albany May Tighten Rein on Banking Consultants
(NYTimes)
Managers fret over loss of broker service
(eFinancial News)($)
All Stock Trading Should Be On Exchanges, Say Exchanges
(Dealbreaker)
The case for official e-money
(Financial Times)($)
High-frequency trading is bad for normal investors, researchers say
(Quartz)
Britain’s Top Fraud Office Aims to Add Bite to Its Bark
(NYTimes)($)
ESMA Clarifies Boundaries of CRA Regulation
(bobsguide)
Debating"The Great Rotation": Will it Lift Trading Volumes?
(Advanced Trading)
Britain Charges Former Trader in Libor Inquiry
(NYTimes)
Cost worries dog "CAT" plan to monitor U.S. stock market
(Reuters)
Revenue plunge fears could prompt banks to head for the door
(eFinancial News)($)
Esma pledges to fast-track fresh guidance on derivatives rules
(eFinancial News)($)
Canadian energy traders face derivative-rule challenges
(Risk.net)(4)
Fed likely to signal tapering move is close
(Financial Times)($)
UK prepares charges against Libor trader
(Financial Times)($)
EU Agrees on Tighter Oversight of 'Dark Pools'
(Wall Street Journal)($)
The Current U.S. Economy: Text and Subtext
(NYTimes)
UK agrees EU deal on City regulation
(FT)($) 1 Comment
Why even the Fed’s power may have its limits
(The Globe and Mail)
Lawsuit Tries Creative Approach Against Fannie and Freddie Bailout
(NYTimes)
EU Said to Raise No Objections to ICE Takeover of NYSE Euronext
(Securities Technology Monitor)
Traiana expands post-trade ‘translation’ tool
(The Trade)
Britian wins safeguard in EU market rules deal
(Business Newswires)
Brokers need to focus on risk management
(Banking Technology)
EU to approve ICE's $8.2 billion NYSE buy without conditions - sources
(Reuters)
The dawn of the social media markets age
(The Trade News)

More News

Regulatory Research & White Papers

MBS Novation: The Path to Modernization of a $100 Trillion Trading Market (Broadridge) Mastering Risk
White Paper: EMIR, REMIT, MiFiD and more. ‘Big Compliance’ Meets Energy Trading (Trayport) Redefining Enterprise-Wide Compliance
An Empirical Analysis of Market Segmentation on U.S. Equities Markets (Nasdaq; The University of New South Wales; The University of Sydney, Frank Hatheway; Amy Kwan; Hui Zheng) Enabling Platforms For Fast Markets
White Paper: Addressing Overlaps Between EMIR and CFTC Derivatives Regulation (AIMA) Redefining Enterprise-Wide Compliance
Understanding High Frequency Trading (World Federation of Exchanges) Enabling Platforms For Fast Markets
Fixed Income Electronic Trading 2013: How Banks Can Prepare for Changes in the Market Structure (GreySpark Partners ) Enabling Platforms For Fast Markets
The CFO as Catalyst for Change (Accenture) Driving Enterprise Transformation
Recommendations for Equitable Allocation of Trades in High Frequency Trading Environments (Federal Reserve Bank of Chicago, John McPartland) Mastering Risk
Sales-Traders: Asset Manager Expectations from High-Touch Coverage (Woodbine Associates) Driving Enterprise Transformation
IMF Working Paper: Revisiting Risk-Weighted Assets (IMF, Vanessa Le Leslé and Sofiya Avramova)

Insider Trading Model Webinar, June 12	Global	19 Jun 2013	Thomson Reuters	Add to Calendar
LendIt 2013, The Inaugural p2p & Online Lending Conference	New York	20 Jun 2013	Lend Academy & NowStreet Media	Add to Calendar
LendIt 2013, The Inaugural P2P & Online Lending Conference	New York City	20 Jun 2013	Lend Academy & NowStreet Media	Add to Calendar
Meeting Requirements of Emerging Regulations to Stay Profitable	New York	25 Jun 2013	IPC	Add to Calendar
TradeTech Japan	Tokyo	10 Jul 2013	WB Research	Add to Calendar
Wall Street Rocks For Our Heroes: Battle of the Bands 2013	New York	17 Jul 2013	Wall Street Rocks	Add to Calendar
High Frequency and Algorithmic Trading Conference	New York	30 Jul 2013	Marcus Evans	Add to Calendar
20th Annual Canadian Security Traders Conference	Vancouver	15 - 18 Aug 2013	Canadian Security Traders Association	Add to Calendar
Inside Market Data Chicago 2013	Chicago	10 Sep 2013	Inside Market Data	Add to Calendar

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Press Releases

ASIC refines dark liquidity, high-frequency trading rules	18 Jun 2013	ASIC
TMX Atrium upgrades connectivity to Knight Hotspot FX	18 Jun 2013	TMX Atrium
Broadridge Says Growing Pressure to Enhance Risk Management Driving Modernization of $100 Trillion MBS Trading Market	18 Jun 2013	Broadridge Financial Solutions
S&P Capital IQ launches new Portfolio Risk solution delivering Real-Time Risk Analysis for Multi-Asset Class Portfolios	17 Jun 2013	S&P Capital IQ
Scivantage Maxit® Extends its Debt and Options Support for TARP III Cost Basis Reporting Compliance	17 Jun 2013	Scivantage
Etrali Trading Solutions expands mobile recording offering for Dodd Frank compliance in the US	17 Jun 2013	Etrali Trading Solutions
Abacus Group Launches FlexDriveTM	17 Jun 2013	Abacus Group
Jeannie Shanahan Named Omgeo’s Managing Director of Governance, Risk Management and Compliance	17 Jun 2013	Omgeo
CastleOak Securities Expands Municipal Sales And Trading Team With Key Senior Hires	13 Jun 2013	CastleOak Securities

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