Regulation & Compliance
WatersTechnology is a multi-channel business intelligence platform with daily analysis and news to enable businesses to deliver better strategies with more efficiency than before.
Click here to view our subscription packages and unlock WatersTechnology premium business content.
ITG announced that Bob Gasser will be removed from his position as CEO effective immediately. Jarrett Lilien, a member of the New York-based brokerage's...
As any parent of multiple children—and especially twins or more—will know, despite one’s best efforts to bend the space–time continuum, you just can’t physically be in more than one place at the same time, and there’s always one (or more)...
BATS Global Markets has filed for greater power to stop and expedite the disciplinary process of ongoing manipulative behavior such as spoofing and layering.
TMX CEO Lou Eccleston shares his thoughts with Dan DeFrancesco on HFT and why the industry needs to learn to accept it.
The Financial Industry Regulatory Authority (Finra) has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations spanning a period of more than eight years, failure to accurately submit...
Regulation has been a consistent driver of change within the capital markets for the best part of a decade; however many investment banks are struggling to adapt to a regulatory landscape that continues to change so much that some are now calling it “the...
The New York State Department of Financial Services is investigating Palo Alto-based secure messaging platform Symphony, ahead of its planned launch on Aug. 3, amid concerns that the platform does not comply with regulations around archiving chat messages.
Updating your subscription status
Work with us on your Integrated Marketing Campaigns
WatersTechnology offers a full range of custom research, surveys, webcasts, video and whitepapers for firms looking to demonstrate thought-leadership through their marketing campaigns and generate sales leads.
The catalyst for change in client reporting is a more empowered, digitally aware consumer. Excellence of service delivery will be key to investment managers...
Without a consistent source of data and limited functionalities in existing systems, firms are unable to perform tasks that are becoming increasingly important...