22 May 2015

Transparency Will Set Buy Side Free: Regulatory Pressures ...

Sayena Mostowfi, Valerie Bogard, TABB Group, TABB Group

As regulatory scrutiny of buy-side firms’ operations in regard to their fiduciary duty to their end investors increases, technology will become crucial in providing transparency to avoid perceived conflicted interests. Meanwhile, shrinking commission wallets and concerns about a lack of transparency into executions contributed to the first ... rest of story...


  • Rail_thumb_aesthetic

    Avoiding Algo Disaster

    As the markets have grown increasingly complex, so too have the algorithms designed to navigate them. And capital markets firms increasingly are challenged to manage the risks associated with this algo ...
  • Rail_thumb_leap-second

    Forget Leap Year. What's a Leap Second?

    The leap second happens every few years when the standard time around the world is adjusted by one second to account for a slight mismatch between clocks and the earth’s rotation. And it has some exchanges and ...
  • Rail_thumb_victor_yodaiken-fsmlabs-time_sync-how_fast_is_fast_enough-wsb-29apr2015

    Time Sync: How Fast Is Fast Enough?

    Regulators are pushing financial trading firms to rethink time – specifically, how well their electronic clocks are synchronized. Current time synchronization standards, according to Victor Yodaiken, ...

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Regulatory Opinion & Analysis


Spoofing Surveillance and Enforcement a Major Challenge for Regulators

Eric Hess, Hess Legal Counsel

Holding market access providers accountable for detecting spoofing by their clients will ultimately be more successful in preventing spoofing than all the new technology that the SEC and FINRA have invested in for two reasons: the lack of a customer identifier on orders and because spoofing requi... Continue

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