Tag: compliance
Computerized Compliance: Savior or Intruder?
Several top executives of UBS, one of the world’s biggest banks, resigned in disgrace this fall following the announcement that a very junior rogue trader in the London office had managed to lose the astounding sum of $2 billion.
Government regulators had already been pushing banks to make sure...
HFT Volume: Cool Liquidity or Just Hot Air?
There have been some heated public debates recently about the kind of liquidity that is being provided by high frequency trading. In an earlier post on Tabb Forum Candyce Edelen from Propel Growth asks if HFTs provide liquidity or do they just provide volume?
Liquidity is bread and butter for...
Keeping the Train on Track
It has been said that regulators are struggling to keep up with high frequency and algorithmic trading because they have outdated methodology and technology. This battle has been likened to trying to chase a Ferrari on a bicycle.
But what happens when the regulators are constantly changing the...
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...
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