Investors have many tools at their disposal to overcome obstacles when they explore new and emerging markets. One factor beyond their control, though, is the political environment. Thus when investors search for new markets, they often skip over countries and regions that have even a hint of political unrest. While this seems generally a prudent [...]
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FRAGMENTATION, REGULATION AND GLOBALIZATION DRIVE NEW DEMANDS FOR COMPLIANCE PROCESSES AND WORKFLOW
Contributor: Steve Sabin, chief operating officer, SunGard’s Protegent business Compliance is complex and expensive—but not as expensive as non-compliance. Fragmentation, continued regulatory changes, and globalization of regulation are among the top concerns for most securities firms today. Over the years, firms implemented separate systems to satisfy specific compliance requirements as they emerged, such as trade [...]
THE UNINTENDED CONSEQUENCES OF INDEMNIFICATION
Guest Author: Larry Thompson, managing director and general counsel of The Depository Trust & Clearing Corporation I had the pleasure recently to speak at SunGard’s New York City Day and focused, in part, on a little known provision of Dodd-Frank, known as indemnification, which is gaining traction as a key issue in the broader debate [...]
PUTTING THE BEST FOOT FORWARD, BY CHOICE
Post by Anshuman Jaswal The recent City Day organized by SunGard in Mumbai provided interesting insights into India’s equity trading industry. Mr. Damodaran, ex-head of SEBI, the capital market regulator put India’s liberalization and globalization into perspective by pointing out that often in its recent history India has been forced to take actions that are [...]
