Securities and Exchange Commission (SEC)
Chicago Catches Crypto Fever with Barrage of Bitcoin Developments
Digital commodities such as bitcoin have captured the imagination of exchange operators but regulators—and even some market participants—are hesitant.
Fixed-Income Tech, CAT Concerns & Waters November 2017 Features: A Week in Review
John recaps some of Sell-Side Technology's best stories of the week, including fixed-income technologies, uncertainty around the CAT, and Waters' November features.
The CAT Is Out of the Bag
The wide-ranging project will not be delayed, even if aspects of its data collection change.
Vendors Accused of Over-Promising on Liquidity Rule
Two buy-side risk officers believe that the SEC put too much faith in the vendor community when making its liquidity rules, specifically for fixed income.
Sibos 2017: Disrupting the Disruptors
The key themes from this year's industry mega-event.
Industry Adds Voice to Calls for CAT Delay
Confidence in the wide-ranging project has been dented by recent cybersecurity incidents.
London Stock Exchange Releases Accelerator Tool for CAT
UnaVista builds tool to simulate requirements of US markets project.
AI-Spy: Machines Close in on Pricing Manipulators
Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.
Regulators 2.0: Embrace Tech or Be Overwhelmed by Data
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
There Ain’t No Party Like a Bitcoin Party
Because the bitcoin party is definitely not going to stop and catch fire.
Demanding Regulators Drive Surveillance Tech Requirements
Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
House Lawmakers Pressure SEC to Postpone CAT
Congress has "serious concerns" about the SEC's ability to safeguard data, politicians say.
On the Fence About Fintech Regulations
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
Personal Details Compromised in SEC Hack
US regulator discloses that social security numbers were compromised in Edgar cyber incident from 2016.
IHS Markit, MSCI Team Up for Fixed-Income Liquidity
The solution leverages IHS Markit's data and MSCI's LiquidityMetrics to make liquidity classification easier.
Machine Learning: On the Ground Floor, Ready to Rise
While much of the talk about machine-learning technology in capital markets is overblown, there’s no question that these tools are set to become increasingly prevalent over the coming years. Anthony Malakian takes stock of where the industry stands based…
The Insecurity of Security
Lingering questions remain over the SEC's handling of its own cybersecurity incident.
Waters Wavelength Podcast Episode 88: CBOE's Bryan Harkins, SEC Hack, Esma Proposal
Bryan Harkins joins to discuss how the CBOE-Bats integration is going and plans for the exchange operator going forward. Anthony and James talk about the SEC hack and Esma's potential new powers.
SEC Company Information Database Attacked
Vulnerabilities identified in SEC’s EDGAR system – a corporate filings database – may have resulted in hackers profiting from the information they stole.
Orchard Launches Platform Connecting Lenders and Investors
The platform, Deals, offers a marketplace environment for lenders to look for investors.
Looking to the Future of Settlement
"It took 20 years to get consensus to move to T+2, but just three years from the inception of the technical working group to implementation."
Bloomberg, Advise Tech Ally for SEC 22e-4 Reporting
The partnership will help mutual fund clients calculate the liquidity risk they must report under the new SEC 22e-4 rule.
Machine Learning in the Capital Markets: Waters Takes an Inside Look
Anthony Malakian looks at a dozen live projects in the capital markets that use machine-learning tools to improve front-, middle-, and back-office processes.
Mifid II Compliance Becoming Best Practice for US Asset Managers
Research and commissions management systems gaining significant traction in US ahead of European regulation implementation