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- Preparing For The New Cost Basis Reporting Law
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Perspectives
Guest Comments
Playing Infrastructural Catch-Up: Closing the Processing Gaps
November 17, 2008 - “Front-office technology and product proliferation have run far ahead of middle-office control and back-office processing capabilities,” says Asset Control’s Martijn Groot.
Ofac Bolsters Sanctions Enforcement
November 10, 2008 - With the Treasury’s office of foreign assets control increasing penalties for violating sanctions, financial institutions should reconsider the resources dedicated to Ofac compliance, write David DiBari, Steven Gatti and Matthew Hsu of Clifford Chance.
Central Device Management: Critical Component of Mobility Adoption
October 20, 2008 - As more and more financial services executives rely on handhelds to access critical data, central device management has become a priority, says Enterprise Mobile’s Mort Rosenthal.
Comments
Atlas Shrugged (and the World Shook)
November 3, 2008 - With the U.S. government putting together a new regulatory scheme, it is critical that the system that emerges protects not only investors, but also the capital-raising process itself from a self-destructive loss of focus.
Revisiting Risk
October 27, 2008 - As Wall Street struggles to determine how it got into the current debacle, one thing is certain: Firms will need to change the way they develop risk management infrastructures and practices.
The River Known as Regulation
September 29, 2008 - After the bailout plan is finalized, legislators will begin taking a long, hard look at the regulatory regimes of the past. But as the saying goes, you can’t step twice in the same river.
Original Sources
Finra's Schapiro on Fixing the System
November 10, 2008 - A new administration will soon begin looking at what went wrong with the regulatory system and how to ensure that it becomes more rational and “the protection of consumers more consistent across functional lines,” says the Financial Industry Authority’s Mary Schapiro.
STA: Reg SHO Should Be Enough
September 29, 2008 - The Security Traders Association argues that aggressive enforcement of Regulation SHO provisions is a more effective remedy than placing new limits on short selling.
Geithner on Reducing Systemic Risk
June 23, 2008 - New York Fed CEO Timothy Geithner calls for a comprehensive reassessment of how regulators can strike a balance between efficiency and stability.
Viewpoints
Nasdaq MTF an Agent for Change, Says Head
October 20, 2008 - Newly launched Nasdaq OMX Europe is competing against a rapidly growing number of pan-European venues, but president Charlotte Crosswell expects only four to five to survive.
Emerging Markets Embracing FIX
August 25, 2008 - Emerging markets are showing increased interest in the FIX protocol as they embrace electronic trading and seek to open and expand their markets internationally, says FIX Protocol Ltd.'s Scott Atwell.
Chi-X's Randall: Smart-Order Routing Key
June 9, 2008 - “Naysayers have claimed that market fragmentation is a dangerous thing,” says Chi-X Europe’s Peter Randall. But “whatever technology can pull apart, technology can knit back together.”
