Tag: regulations
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has been said that regulators are struggling to keep up with high frequency and algorithmic trading because they have outdated methodology and technology.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...
Using technology to prepare for regulatory change: how can market surveillance technologies help?
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...
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...
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