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Information Sharing: U.K. and Hong Kong Regulators to Cooperate on Cross-Border Supervision
On July 20, the Hong Kong Securities and Futures Commission and the U.K.
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Getting It All on Tape: GreenKey Partners with Red Box for Advanced Recording Solution
New regulations are making it necessary for investment firms to capture all trade-related communications, including voice conversations.
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FCM Bankruptcy: U.S. Appeals Court Reverses Sentinel Ruling, Restores Protections for Segregated Funds
On Aug. 14, the U.S. Court of Appeals for the Seventh Circuit issued an opinion that addressed several important questions related to the protections on customer funds.
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Voice into Data
Although traders have been awash in data for years now, very little voice trading data has been susceptible to analysis. But last month, Cloud9 Technologies announced that it had cracked the code.
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Protecting Market Infrastructure from Cyber Attacks
On July 10, the Singapore Ministry of Communications and Information and the Cyber Security Agency of Singapore published a proposed cybersecurity bill.
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The Future of Clearing
On Aug. 22 the European Commission opened a public consultation on post-trade services in financial markets, including clearing, settlement and collateral management.
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Position Limits Come to Europe
On Aug. 10, the European Securities and Markets Authority published three opinions on position limits proposed by France’s markets regulator regarding rapeseed, corn and milling wheat.
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Standalone Clearing
On June 23, the Securities Commission Malaysia announced amendments to its regulatory framework so that the clearing of securities and derivatives will be classified as a new regulated activity.
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Next-Gen Compliance
In July Nasdaq announced an agreement to buy Sybenetix, a provider of market surveillance and compliance monitoring software for banks, asset managers, hedge funds, exchanges and regulators.
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Legal Liability: Futures Brokers Exempted from Consumer Arbitration Rule
On July 10, the Consumer Financial Protection Bureau, a U.S. government agency created through DoddFrank, issued a final rule on pre-dispute arbitration agreements.
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