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Regulatory Opinion & Analysis

Barclays announces commitment to reporting dark pool volume (Barclays) Enabling Platforms For Fast Markets
The New Risk Transparency Toolbox (Misys, Pierre-Alois Koch) Mastering Risk
Record Volumes Traded in European Dark Pools in Q1 (Fidessa, Tina Timneva) Innovations in Trading and Technology
The Death of Alpha on Wall Street (Appleby Capital, Scott Appleby) Powering Intelligent Alpha Capture 7 Comments
Choose Your Own Path: Buy, Build, or Both? (Progress Software, Theo Hildyard) Enabling Platforms For Fast Markets
SIFMA Strongly Disagrees with CFTC’s Final SEF Rules (SIFMA) Mastering Risk
Debunking the Cloud Security Myth (TABB Group, Alexander Tabb) Innovations in Trading and Technology
Expect Fireworks in D.C. Over Swaps Rules and Extraterritoriality (G. M. Bollenbacher & Co., Ltd. , George Bollenbacher)
Buy Side Backs Bloomberg Margin Request (TABB Group, Will Rhode) Mastering Risk 2 Comments
Robust collateral management: What is it? Why is it important? How to get there! (FOXEYE, Martin Schuhmayer) Mastering Risk
Failure to Meet OTC Clearing Deadline Will Be Costly (TABB Group, Will Rhode) Driving Enterprise Transformation
Crown Jewels: Driving Toward Strategic Change in Banks (Capco, Mark Reeves) Driving Enterprise Transformation
SEFs: Zeroes, or Heroes? (TABB Group, Will Rhode) Enabling Platforms For Fast Markets 1 Comment
FATCA Compliance and the Great Expectation/Preparation Divide (Capco, Sivananda Rallabandi) Driving Enterprise Transformation
Chasing Commodities (TMX Atrium, Emmanuel Carjat) Canada’s Evolving Markets
SEFs Control Their Own Fate (TABB Group, Will Rhode) Driving Enterprise Transformation 2 Comments
Are You Ready to Trade Derivatives in the New Paradigm? (Woodbine Associates, Sean Owens) Mastering Risk 2 Comments
Swap Your Workflow (Fidessa, Mark Brennan ) Enabling Platforms For Fast Markets
The Inherent Conflict in Hedge Accounting (Actualize Consulting Group, Chad Wekelo) Mastering Risk
Time to Determine the Fate of Reg NMS (TABB Group, Larry Tabb) 15 Comments
Keeping Pace With the Regulatory Crush (Capco, Steven Halliwell) Driving Enterprise Transformation
American Capitalism on Suicide Watch? (Wunsch Auction Associates LLC, Steve Wunsch)
A New Era for Corporate Bond Liquidity (BondDesk Group, Steven Shaw) Enabling Platforms For Fast Markets
5 Reasons to Consider Co-Sourcing (Gravitas, Jayesh Punater) Driving Enterprise Transformation
Man vs. Machine: Is There Hope for Human Traders? (University of Virginia , Robert Webb, Alexander Webb) Enabling Platforms For Fast Markets 3 Comments

Expect Fireworks in D.C. Over Swaps Rules and Extraterritoriality

George Bollenbacher, G. M. Bollenbacher & Co., Ltd.

While the CFTC has taken a rules-first and extraterritoriality-later approach to swaps regulation, the SEC has taken an extraterritoriality-first and rules-later approach. Negotiations between the two regulators to harmonize the rules may be the summer’s best entertainment in the capital. Continue

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Regulatory News

Tempers flare in ‘pay for order flow’ row (eFinancial News)
Succeeding in the male-dominated world of the trading floor (eFinancial News)
Tabb Group weighs in on Reg NMS (Fierce Finance IT)
NYSE Voids Penny Trades in Anadarko From Last Minute of Trading (Bloomberg)
Former GOP Senator Judd Gregg named CEO of lobbying group SIFMA (Reuters)
Much Ado about RFQ (Waters Technology)
Swap dealers struggle with Isda protocol compliance (Risk.net)($)
SAC Capital won't fully cooperate with government: letter (Reuters)
Impact of Reg SCI: Q&A with Jim Angel (Tradersmagazine.com)
FIA appoints director to manage global regulatory agenda (The Trade)
Swap execution facilities reach the starting line (Reuters)
House Lawmakers Pass SEC Cost-Benefit Bill (Wall Street Journal)($)
High speed trading a stiff challenge for U.S. regulators (Reuters)
Fierce battle for corporate loans sparks US bank risk concerns (Financial Times)($)
Deaf ear turned to most whistleblowers (Financial Times)($)
Euro Tax 'To Decimate Pensions' (Sky News)
Let’s boycott this needless tax that would cripple markets and keep Europe in the slow lane (Telegraph)
UK worker insecurity at 20-year high (Financial Times)($)
Bloomberg Names Palmisano to Review Compliance (Dow Jones Newswire)
White says SEC not now writing political spending rule (Reuters)
Bonus cap to catch tens of thousands more bankers in Europe ($) (FT)
Who Waters Down Wall Street Regulation, Anyway? (New York Magazine)
CFTC gives SEFs green light (The Trade News)
Industry Tests SEC’s Patience on Systems Standards (Traders)
Has interoperability arrived in derivatives? (Futures & Options World)
We'll Probably Regulate Bloomberg: CFTC's Chilton (CNBC)
Goldman Offers Hedge Funds to the 99% (The Street)
Cleared US dollar IRSs increase ahead of buy-side deadline (The Trade News)
Wall Street Wins Rollback in Dodd-Frank Swap-Trade Rules (Businessweek)
Google accused of devious and unethical tax behaviour (Financial Times)($)
Central Bank Competence Is A Technology (Forbes)
Bonus cap to catch tens of thousands more bankers in Europe (Financial Times)($)
CFTC approves Sef rules - and eyes block trade controversy (Risk.net)($)
The Fed Is Failing On Both Parts Of Its Dual Mandate (HuffPost)
Is Bloomberg’s Snooping More than a Tempest in a Terminal? (FTF)
Big banks gain as U.S. adopts weakened swap rules (Reuters)
Dodd-Frank "Extraterritoriality" - Trust but Verify (CME Group)
US in compromise on derivatives trade rules (Financial Times)($)
Too Many Order Types, Traders Fret (Traders)
Investor Aiming for the Top, Again (NY Times)

White Paper: Robust collateral management: What is it? Why is it important? How to get there! (FOXEYE, Martin Schuhmayer)
Regulation NMS Part I: Loved or Loathed and Why Many Want It to Die (TABB Group, Larry Tabb)
White Paper: Market Structure, Data and Regulation: time to look beyond Consolidated Tapes (Rights Management Associates, RMA) Enabling Platforms For Fast Markets
Competition between High-Frequency Market Makers, and Market Quality (Stockholm School of Economics, SHoF & SIFR, H.-Johannes Breckenfelder) Powering Intelligent Alpha Capture
Data governance: key contributor to successful data management strategy (Investit’s Operations Practice, John Robertshaw) Mastering Risk
White Paper: China's securities industry one year after landmark deregulatory conference (Nomura Research Institute, Nomura Research Institute)
@falsenews @whinytraders: 140 characters moved the market. Big deal (TABB Group, TABB Group, Adam Sussman, Valerie Bogard)
Risk Management Beyond VaR (David M. Rowe Risk Advisory, David M. Rowe ) Mastering Risk
Structural bank regulation initiatives: approaches and implications (BIS, Leonardo Gambacorta and Adrian Van Rixtel )
High-Frequency Trading: The Good, the Bad and the Ugly (Grey Spark, Anna Pajor, Saoirse Kennedy, Jon Batty, Cameron Griffith, Charles Mo) Mastering Risk

The current state of FATCA and the impact of the Final Regulations on offshore hedge funds	New York, NY	21 May 2013	Tannenbaum Helpern Syracuse & Hirschtritt LLP	Add to Calendar
Webinar: Are You Ready for AIFMD - Private Equity Focus	Webinar	22 May 2013	Advise Technologies	Add to Calendar
Webinar: Are You Ready for AIFMD - Hedge Fund Focus	Webinar	23 May 2013	Advise Technologies	Add to Calendar
Webinar: Robust collateral management - What is it? Why is it important? How to get there!	Online Webinar	23 May 2013	FOXEYE - The Frontoffice Xperts	Add to Calendar
High Frequency Trading Leaders Forum 2013 - New York City	New York	30 May 2013	http://www.hft-leaders-forum.com/	Add to Calendar
Enterprise Collateral Management Conference 2013	London	04 - 06 Jun 2013	WBR	Add to Calendar
Chicago Algorithmic Trading Conference	Chicago	12 Jun 2013	OptionsCity Software	Add to Calendar
LendIt 2013, The Inaugural p2p & Online Lending Conference	New York	20 Jun 2013	Lend Academy & NowStreet Media	Add to Calendar
LendIt 2013, The Inaugural P2P & Online Lending Conference	New York City	20 Jun 2013	Lend Academy & NowStreet Media	Add to Calendar

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Press Releases

NASDAQ OMX and Smarsh Establish Partnership to Deliver Deeper Compliance Risk Capabilities	20 May 2013	NASDAQ OMX
Bloomberg Appoints Samuel Palmisano as Independent Adviser	17 May 2013	Bloomberg
Wolters Kluwer Financial Services Announce New Conduct Risk Governance Solution for Firms Regulated by the FCA	17 May 2013	Wolters Kluwer
Al-Dhabi Investment selects Misys Sophis VALUE for front-to-back portfolio and risk management capabilities	16 May 2013	Misys
ConvergEx Prime Services Launches New Tax Optimizer Solution	16 May 2013	ConvergEx
Interdealer Brokerages Will Pursue Independent Strategies in Search of SEF Profitability, Says TABB Group	14 May 2013	TABB Group
Omgeo Supports Global Legal Entity Identifier Initiative with Updates to Omgeo ALERT	14 May 2013	Omgeo
NASDAQ OMX Successfully Delivers SMARTS to Financial Conduct Authority (FCA) to Enhance Market Surveillance Capabilities	14 May 2013	NASDAQ OMX
Omgeo Supports Global Legal Entity Identifier Initiative with Updates to Omgeo ALERT	14 May 2013	Omgeo

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