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?
Kayla Kayla, 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?...
Opinion & Analysis
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Making Sure the European FTT Stays Finished (Updated)
(Liquidnet, Rebecca Healey)
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Swaps regulation arrives – with a bang and a whimper
(Fidessa, Mark Brennan)
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Information Security in a BYOD World
(nCrypted Cloud, Nicholas Stamos,TABB Group, Les Kovach)
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Incentive to Clear? Basel III, CCPs and Netting
(LCH.Clearnet, Rory Cunningham)
News
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SEC Weighs Overhaul of Exchanges’ Regulatory Status
('Wall Street Journal)($')
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SEC advisory-panel proposal calls for tough fiduciary standard
('Investment News')
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This week’s other huge (but little-noticed) fight: Wall Street’s newest scheme
('Salon')
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Government shutdown bad timing for key market regulator
('Politico')
HFT: A Regulatory Work in Progress
Kayla Kayla, 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...
ContinueAdditional Resources
- Swap Terminator: A Central Clearing Solution
(Will Rhode, Formerly TABB Group)
- The Effects of Mandatory Transparency in Financial Market Design: Evidence from the Corporate Bond Market
MIT; Harvard, Paul Asquith, Parag Pathak; and Thomas Covert
- Joint Supplemental Consultation Conclusions on the OTC Derivatives Regime in Hong Kong – Proposed Scope of New/Expanded Regulated Activities and Regulatory Oversight of Systemically Important Participants
Hong Kong Monetary Authority, Securities and Futures Commission
- Strengthening Oversight and Regulation of Shadow Banking
Financial Stability Board
- Information Security and Capital Markets
(Thomas Fuhrman, Delta Risk LLC)
- Monitoring the Dual Mandate of the Federal Reserve
CME Group, Bluford Putnam