Eze Software’s Phil Christianson gives five tips for improving a firm’s use of the Agile methodology, and Anthony and James look at the latest CAT development.
If a House bill seeking to ban the gathering of PII data passes, plan processor says it will wait for guidance from the NMS committee.
Montagnino has held a range of compliance and surveillance-related roles at banks and trading firms.
While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…
Broker-dealers should look into gathering data that may be reported into the CAT even before the system goes live for its own internal purposes, experts say.
Experts say the structure of the decision-making process hinders its speed.
Wavelength Podcast Episode 118: CAT ‘State of the Union’, RTS 27 & 28 Concerns, The ‘Big Tech’ Dilemma
Anthony and James discuss some of the big stories to come out of TradeTech Europe and then three legal experts look at how the SEC has been quiet about the CAT.
Tradeworx, now Thesys Group, is the latest in a series of firms that has decided to pull back from trading activities and focus on fintech. And it’s unlikely to be the last.
Vas Rajan will be responsible for validating security measures for the CAT in a vital phase of the system's roll-out.
When the Consolidated Audit Trail failed to go live in November last year, questions came as to why—but answers were not easy to come by.
The SEC’s Consolidated Audit Trail (CAT) of US equities trade data hit a fresh snag in late 2017, missing a major deadline for reporting, blaming insufficient cyber defenses. As it marches into another crucial year, Tim Bourgaize Murray reports on the…
The company renamed itself Thesys Group and will focus on growing Thesys Technologies.
Financial firms spent a lot of last year focused on Mifid II compliance, but also clearly spent significant time following the ups and downs of cryptocurrencies - and assessing whether to invest in this new asset class.
UnaVista, the London Stock Exchange Group’s (LSEG’s) platform for matching, reconciliation and reporting, makes its debut at the AFTAs as winner of the most innovative third-party technology vendor (infrastructure) category, at a time when industry focus…
Anthony, James and Emilia discuss the 10 biggest trends that unfolded in 2017.
Lobby group is looking at other types of data that it can suggest to the SEC for use in the CAT.
The Consolidated Audit Trail provider created the role of president to better oversee development of the CAT.
Thesys, in a hearing at a Congressional committee, also said it has lined up over 20 candidates for a chief information security officer post.
Anthony and James look at developments pertaining to the Consolidated Audit Trail and wonder if big-tech companies could challenge traditional asset managers.
Participants refuse to say whether reporting will begin as scheduled after a last-ditch delay effort was rejected by the SEC.
Market Data Protection Act will increase security requirements for market data held by the SEC and FINRA, lawmakers say.
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.
This week Anthony and James discuss some of the major stories to come out of three major conferences.
The wide-ranging project will not be delayed, even if aspects of its data collection change.