22 January 2015

Cybersecurity a Top SEC and FINRA Examination Priority in ...

Eric Hess, Hess Legal Counsel

Cybersecurity will receive increased scrutiny from regulators in the year ahead. While larger firms have already implemented information security programs, many small and mid-size shops are neither sufficiently prepared for a cybersecurity breach nor the questions that the examiners will be asking them. ... rest of story...


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    Simplifying Market Good for All: NYSE’s Farley

    Thomas Farley, NYSE president, dispels rumors that the NYSE is for sale and that it will close its trading floor. Speaking on CNBC, he also acknowledges that exchanges, including the NYSE, lost their way when it ...
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    IT Dollars: Tech Spend, or Tech Investment?

    Financial firms sink a lot of money into technology, but are they spending wisely, investing in infrastructure that improves the outlook for their business? To find the answer, Paul Rowady, TABB Group principal ...
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    Forex Clearing Slow in Coming

    U.S. and European regulators want more of the currency derivatives market to be centrally cleared. But they are taking their time finalizing the rules to clear forex derivatives trading. Gavin Wells, chief ...

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Technology Opinion & Analysis


Disruptive Innovation in Financial Services Threatens Incumbents

Paul Rowady, TABB Group

Large, traditional banking and other financial services firms largely have avoided serious innovation for decades. But now, new industry entrants, born in the digital age, are delivering smarter and more personalized solutions that are cheaper, faster and easier to use. Continue

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