Redefining Enterprise-Wide Compliance Sponsored by Bloomberg
To meet today’s compliance demands, capital markets firms must achieve complete internal transparency, demonstrate stringent governance, and guarantee absolute data security, all in a 24/7, mobile environment. This TabbFORUM Spotlight Series, sponsored by Bloomberg, delves into the open strategies, architectures, and processes that leading, agile organizations are using to adapt to the new standards of compliance.
Can Reg NMS Be Fixed?
Daniel Daniel, Tree Consulting02 Oct 2013
Different investors and firms look at the market differently, and how to fix the market depends upon their perspective -- what do they deem broken and in need of repair?...
HFT: A Regulatory Work in Progress
Daniel Daniel, Tree ConsultingCanadian regulators continue to face significant hurdles in their attempts to reconcile the benefits and challenges that accompanied the introduction of competition and high-frequency trading in the Canadian equities markets...
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