Securities and Exchange Commission (SEC)
There Ain’t No Party Like a Bitcoin Party
Because the bitcoin party is definitely not going to stop and catch fire.
Demanding Regulators Drive Surveillance Tech Requirements
Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
House Lawmakers Pressure SEC to Postpone CAT
Congress has "serious concerns" about the SEC's ability to safeguard data, politicians say.
On the Fence About Fintech Regulations
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
Personal Details Compromised in SEC Hack
US regulator discloses that social security numbers were compromised in Edgar cyber incident from 2016.
IHS Markit, MSCI Team Up for Fixed-Income Liquidity
The solution leverages IHS Markit's data and MSCI's LiquidityMetrics to make liquidity classification easier.
Machine Learning: On the Ground Floor, Ready to Rise
While much of the talk about machine-learning technology in capital markets is overblown, there’s no question that these tools are set to become increasingly prevalent over the coming years. Anthony Malakian takes stock of where the industry stands based…
The Insecurity of Security
Lingering questions remain over the SEC's handling of its own cybersecurity incident.
Waters Wavelength Podcast Episode 88: CBOE's Bryan Harkins, SEC Hack, Esma Proposal
Bryan Harkins joins to discuss how the CBOE-Bats integration is going and plans for the exchange operator going forward. Anthony and James talk about the SEC hack and Esma's potential new powers.
SEC Company Information Database Attacked
Vulnerabilities identified in SEC’s EDGAR system – a corporate filings database – may have resulted in hackers profiting from the information they stole.
Orchard Launches Platform Connecting Lenders and Investors
The platform, Deals, offers a marketplace environment for lenders to look for investors.
Looking to the Future of Settlement
"It took 20 years to get consensus to move to T+2, but just three years from the inception of the technical working group to implementation."
Bloomberg, Advise Tech Ally for SEC 22e-4 Reporting
The partnership will help mutual fund clients calculate the liquidity risk they must report under the new SEC 22e-4 rule.
Machine Learning in the Capital Markets: Waters Takes an Inside Look
Anthony Malakian looks at a dozen live projects in the capital markets that use machine-learning tools to improve front-, middle-, and back-office processes.
Mifid II Compliance Becoming Best Practice for US Asset Managers
Research and commissions management systems gaining significant traction in US ahead of European regulation implementation
Steps Closer to Functioning Oversight
The CFTC has begun staffing up, after a long period of thinning leadership.
US Senator Urges Greater Reg SCI Transparency from SEC
Ranking member of Senate subcommittee says regulator should update list of affected firms
Neptune Adds Rabobank and TD Securities as Latest Dealers
Trading network adds banks to bring total dealer members to 24.
The More Things Change
Regulators may be about to call the industry's bluff on Mifid II time pressures
Frontier Finance: Shaky Foundations Hinder Digital Currencies
Digital currencies are going through birth pains as an asset class, but some believe they can become the next commodity of choice for traders
SEC Extends Reach to Digital Currencies
US regulator makes strongest move yet toward overseeing finance’s Wild West
Bitcoin Braces for a Blockchain Split
Bitcoin could diverge into two different versions of the same currency on August 1, creating further issues for institutional involvement.
SEC Integrates AI and Machine Learning for Risk Assessment
The regulator began using machine learning after the 2008 financial crisis and is working on creating more machine-readable documents.
Donnelly Financial, ICE Data Services Ally for Fund Filing Tool
ICE Data Services' reference data, taxonomies and evaluated prices will be key to fund firms correctly filing N-Port forms under next year's regulation.