Waters Wavelength Podcast Episode 3: Dark Pools, SEC, Enterprise Risk
Dan and Anthony discuss the recent fines levied against dark pools and enterprise risk analytics.
Dan and Anthony open things up discussing tips on submitting an entry for the Sell-Side Technology Awards (1:22). They then chat about the recent fines handed down by the SEC and NYAG to Barclays' and Credit Suisse's dark pools (5:49), Dan's profile on SEC CIO Pamela Dyson (12:44) and Tony's feature on enterprise risk (17:40). Finally, they wrap things up by chatting about the Super Bowl (23:40) and its commercials (26:17).
If you have a SoundCloud account, be sure to subscribe to our page. You can find our account here.
Please note: If you are using Google Chrome as your browser than you will not be able to skip ahead on the podcast in the embedded player on our page. Head directly to the episode on SoundCloud to be able to do that.
Links to articles discussed:
Barclays, Credit Suisse Acquiesce to SEC Dark Pool Settlements
The Industry Reacts to Dark Pool Fines
Won't Back Down: SEC CIO Pamela Dyson
Risky Alternative: Solving Enterprise Risk for Alternative Investments
Super Bowl Commercials for the Capital Markets
As is the case with everything we do, we'd love to get some feedback from our listeners. Feel free to reach out to Anthony or Dan via Twitter or email.
Anthony: @a_malakian; Anthony.Malakian@incisivemedia.com
Dan: @dandefrancesco; Dan.DeFrancesco@incisivemedia.com
Also, don't forget to follow our social media accounts:
Past episodes:
Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.
To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe
You are currently unable to print this content. Please contact info@waterstechnology.com to find out more.
You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. Printing this content is for the sole use of the Authorised User (named subscriber), as outlined in our terms and conditions - https://www.infopro-insight.com/terms-conditions/insight-subscriptions/
If you would like to purchase additional rights please email info@waterstechnology.com
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. Copying this content is for the sole use of the Authorised User (named subscriber), as outlined in our terms and conditions - https://www.infopro-insight.com/terms-conditions/insight-subscriptions/
If you would like to purchase additional rights please email info@waterstechnology.com
More on Regulation
The Cusip lawsuit: A love story
With possibly three years before the semblance of a verdict is reached in the ongoing class action lawsuit against Cusip Global Services and its affiliates, Reb wonders what exactly is so captivating about the ordeal.
Vendors under new scrutiny in CFTC due diligence push
The planned cyber resilience regime will force dealers to subject “critical” tech vendors to stricter audits.
Industry divided on whether Europe should delay FRTB
Most bankers prefer to keep to earlier start date, even though it puts continent out of sync with US.
Banks call for direct oversight of cloud providers by US regulators
Tri-opoly of cloud vendors “poses systemic risk” to financial sector, say risk managers
Can FIX fix patchy exchange outage communications?
A FIX working group is hoping to standardize the way that venues communicate with the sell side when markets fail.
Third-party guidance spurs US bank rethink on fintech partners
For conventional vendors, banks say due diligence rules will be the toughest challenge
Social distancing: Putting a $ value on the ‘S’ in ESG
The ‘social’ pillar of ESG has been much overlooked and underserved in terms of reporting and accurate and available data. That’s changing.
Shall we compare thee to a multilateral trading venue?
As regulators confirm that perimeter guidance applies to tech firms, the focus shifts to enforcement.
