Becoming and remaining compliant is a key consideration for brokers and exchanges, especially in a time of regulatory change. It frequently makes the top of the list in surveys on their primary concerns, which is unsurprising given the current confusion surrounding financial regulation. In this...

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...

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...

When thinking about technology and speed, the usual issue that springs to mind is how fast a transaction can take place.  Gone already are the days when every millisecond mattered; now we count in microseconds.  Or nanoseconds.  And debates already rage about the possibility of...

It is gratifying to see the serious attention that regulators, traders, brokers and the buyside are paying to market surveillance today. It was not always the case. The credit crisis began a domino-effect market crash that rang alarm bells and woke them up; then the flash crash jolted them like a cup...