SEC
SEC Charges UBS With Improper Securities Valuation
Strapline: Regulation & Standards
To Catch a Thief: New Strategies, Technologies Combat Fraud
As regulators praise the advancements made by financial institutions in the prevention of fraud and money laundering, new technology is helping detect criminal behavior. Jake Thomases looks at the progress that’s been made.
Liquidity Lost: What's Next for Dark Pools?
Pipeline Trading Systems, the seven-year-old dark pool operator specializing in block trades, paid $1 million to resolve SEC claims that it failed to provide the confidentiality and liquidity it advertised to customers. Will the incident have broader…
Rob Daly: Saying Good-Bye to Awful 2011
When it began, 2011 promised to bring major changes due to numerous regulatory developments. But deadlines passed, budgets shrank and many important decisions wound up in limbo, leaving the industry in a poor state. Rob looks back at the some of 2011’s…
Financial Tech Talk: Living with SEC Rule 15c3-5
The new pre-trade risk and capital check Rule 15c3-5 takes effect on Nov. 30. Is the industry ready?
Anthony Malakian: Studying the Bottom of a Pint Glass
According to Anthony, few individual get work completed ahead of schedule. This is also true of the buy-side space, where many hedge funds ─ and even vendors ─ are waiting until the last minute to address Form PF.
Rob Daly: Smarter, Not Faster, Wins the OTC Race
As US regulators finally define the parameters of the Dodd-Frank Wall Street Reform and Consumer Protection Act, dealers and other market participants are racing to have their systems ready to trade on the first day of the new regulatory regime. Rob…
Extended Play: Regulators Draw Out Dodd-Frank Timeline
Peter Madigan surveys the US market's regulatory landscape, looking at areas most likely to be affected by the Dodd Frank Act when it finally comes into force during the course of 2012.
