Author: Laurent Jacquemin, global head of post-trade services, SunGard Over the next two to three years meat is going to be put on the bones of both the US ‘Dodd/Frank’ legislation and the proposals of the European Commission. The precise shape of the regulation is still unclear but I thought it would be useful to [...]
Monthly Archives:: October 2010
SEC ELIMINATES PAY-TO-PLAY. WHAT DOES THIS MEAN FOR COMPLIANCE PROFESSIONALS OF ADVISORY BUSINESSES?
By Ragini Pathak – Senior Product Manager, SunGard’s Trading Business The Securities and Exchange Commission recently passed the new “pay-to-play” rule under the Investment Advisers Act of 1940. With this new rule, the SEC aims to level the playing field: Investment advisers can no longer “pay to play” with governmental bodies that are involved in [...]
SOCIAL MEDIA AND THE COLLABORATIVE CULTURE
Author: Gerry Murphy, former president, SunGard
Lately I have been thinking more and more about how to best use social media and the many new collaborative communication technologies that are available today. For me, social media extends into many different spheres, including innovation, service, organizational culture and diversity. It is about finding and embracing new and more efficient ways to collaborate, create and …
MiFID II: WILL THE REVISED REGULATION DELIVER IMPROVED TRANSPARENCY AND EFFICIENCY TO EUROPEAN MARKETS?
MiFID was introduced to protect the investor and make markets more efficient. But mono-market execution policies, post-trade reporting problems and the development of broker crossing networks are seen as hampering the regulation’s quest for transparency and true best execution.
EVOLUTIONS AND CHALLENGES IN DERIVATIVES TRADING
Regulation, high frequency trading and increased risk scrutiny are changing the game in the $450 trillion derivatives industry. Post crisis, managing market and client risk in real time across derivative instruments and venues has become a top priority for all market participants. How are both brokers and exchanges adapting to meet these new challenges?
REGULATORY PERSPECTIVES: THE IMPORTANCE OF STRONG COMMUNITY IN UNCERTAIN TIMES
Author: Scott Foster, SunGard As the conversations continue around what will happen next for the financial industry as a result of Dodd-Frank and Basel III, there remains a sense of uncertainty in the air. Firms are grappling with the task of preparing for the new regulatory reality that we will all soon face. There are [...]
