Compliance & Regulation
July 14, 2014 - Georgetown professor James Angel, who testified before the US Senate earlier this week, explains why we wont see any new laws regarding market structure coming from Congress anytime soon.
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.
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.
May 4, 2009 - Financial firms are voicing concerns about the operational and systems changes required to accommodate the IRS's new cost-basis reporting mandate.