Securities and Exchange Commission (SEC)
Anticipating T+2, SEC Approves Bloomberg's Trade Confirmation Alternative
CMS for equities, fixed income will provide second option to DTCC.
Outsourced CCOs, Back Under the Microscope
A recent dispatch from the SEC's OCIE highlighted concerns about the rise of outsourced compliance chiefs.
Data Security, Reporting Augmentation Still Pivotal Issues for CAT
Representatives from four bidders for the Consolidated Audit Trail (CAT) spoke at the TabbForum MarketTech 2015 conference about potential issues they see involving the building of the CAT.
Next Steps For the LEI
Growing LEI issuance has improved reporting, but what comes next?
SEC Appoints Ramarathnam to Credit Ratings Watchdog
Ramarathnam, a 10-year SEC staffer, will take up her new role later this month.
Miscommunication: Bloomberg, Symphony and the Messaging Fight
Anthony Malakian speaks with industry participants to see how the messaging space has evolved and whether Symphony-or Bloomberg-have cause for concern.
Social Alpha Targets Banks Following Innovation Lab Program
The vendor is expanding its customer base beyond hedge funds to investment banks
ITG Replaces CEO Gasser with Lilien, Discusses SEC Settlement
Jarrett Lilien, a member of the ITG board, will serve as interim CEO.
BATS Files for Client Suspension Rules to Tackle Manipulative Market Behaviors
Expedited authority to cut manipulative behaviors “within weeks” awaiting SEC approval.
Fair Value to the Fore
Alternatives to securities pricing needed as Athens stock market remains closed
SEC Taps Kx Systems for Data Analysis
The database will help the SEC analyze large amounts of data.
SEC Updates XBRL Filings Tool
Upgraded version will be faster and easier to use, SEC officials say.
SEC Proposed Rule to Modernize, Extend Systemic Risk Reporting for Mutual Funds
Two new forms, Form N-Port and N-Cen, are at the heart of a new set of rules proposed by the SEC.
SEC 15b9-1: Shots Across the Bow
Finra registration could push some options HFTs to the brink.
Deutsche Bank Pegged With $55 Million Fine by SEC
The SEC says Deutsche inflated the value of a portfolio of derivatives by $1.5-$3.3 bn.
What's the rush? The CAT is a Waiting Game Worth Playing
Dan DeFrancesco talks about why showing forbearance while waiting for the CAT might be best thing for the industry.
Rethinking Large-Scale Data Management
Will major firms be able to take a page from hedge funds' playbook?
SEC Commissioner Calls for Office of Data Strategy; CAT Still Years Away From Completion
Kara Stein says SEC needs to open an office focused specifically on data.
Letting the CAT Out of the Bag
Thomas Sporkin and Timothy Coley lay out the business and regulatory arguments in favor of implementing the Consolidated Audit Trail in the US.
Notebook: CISOs Talk About Backgrounds, Industry Threats
Dan DeFrancesco puts together some of the best quotations leftover from his feature on the rise of CISOs.
Notebook: CISOs Talk About Backgrounds, Industry Threats
Dan DeFrancesco puts together some of the best quotations leftover from his feature on the rise of CISOs.
Rise of the CISO
CISOs from across the industry talk about how their role has grown in prominence in the capital markets industry.
Information Sharing Among CISOs Key to Firms' Protection
CISOs rely on swapping information about cyber attacks as an integral part of their security programs.
Information Sharing Among CISOs Key to Firms' Protection
CISOs rely on swapping information about cyber attacks as an integral part of their security programs.