Tag: compliance
Tickets Please: Technology to Keep You on the Train
The ticket to preventing and deterring rogue trading could well be technology. Although most financial services firms have some form of surveillance and monitoring technology in place, it isn't good enough to keep them from getting kicked off the regulation train.
Financial services firms risk...
All Change: When to Prepare for New Regulations
As financial institutions bemoan the uncertainty still hovering over Dodd-Frank implementation and possible delays, there are steps that they can take to prepare for them even before the ink dries. Otherwise compliance can cause major disruptions to their business operations.
Brokers, in...
All Aboard: New Regulations Take Many Tracks
The regulatory trains in Europe and the US have left their respective stations and are headed down the tracks, but they will change tracks many times along the route before reaching their destination. Thick tomes of proposed operating rules have to be interpreted even as interested financial services...
Can Anything Be Done To Prevent A Second Flash Crash?
May 6th, 2010 lives in infamy in financial markets; a precipitate dive on the US stock market wiping a trillion dollars off the value of equities in just under 30 minutes stunned the industry.
The speed at which such an astonishing crash took place was partly in thanks to the ever-shrinking...
Why Is There Currently So Much Confusion Around FS Regulation In The UK?
Tomorrow after TradeTech we’ll be asking the crowds, ‘what’s next in regulation?’ I imagine that answers will be as varied as some of the statements provided in the recent Raj Rajaratnam...
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