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Compliance & Regulation

Breaking News

Senate Takes on HFT, Dark Pools and Deadlocks

July 14, 2014 - Georgetown professor James Angel, who testified before the US Senate earlier this week, explains why we won’t see any new laws regarding market structure coming from Congress anytime soon.

Barclays Posts Dark Pool LX Form ATS on Website

June 25, 2014 - Barclays, operator of the LX dark pool, announced it has posted its Form ATS and other previously non-public documents on its website.

Charles River Launches Compliance as a Service

June 9, 2014 - Charles River, a front- and middle-office investment management solution provider, launched Charles River Compliance as a Service (Charles River CaaS), a cloud-based offering for asset managers that integrates software, data, and services in a hosted environment.