Articles by James Rundle
AFTAs 2013: Best Compliance Initiative—ConvergEx Group
Compliance and market surveillance are among the most important functions at any institutional trading firm. Given heightened regulatory scrutiny of the capital markets, that importance looks set to grow, but compliance teams often struggle with basic,…
AFTAs 2013: Best Infrastructure Initiative—Bank of America
When it comes to financial technology, the key word has always been efficiency. For execution, that comes down to finding the right venues to trade with the best results for internal desks or external clients. For compliance, it’s about identifying and…
AFTAs 2013: Best Analytics Initiative—Credit Suisse
The common refrain when it comes to data is that it’s not just important to have it—one also needs to know what questions to ask it. Enter analytics, which has become a critically important aspect of financial technology over the past few years,…
JPMorgan Takes Chi-X Stake
JPMorgan has joined the ownership consortium of Chi-X Global Holdings by acquiring a stake in the firm, the alternative trading venue operator has announced.
NCB Capital Takes Charles River
Saudi Arabia-based NCB Capital has selected the Charles River Investment Management System (IMS) for a number of areas, stretching from portfolio management to compliance.
Swift Creates KYC Utility amid Compliance Push
Messaging provider Swift has announced the launch of a know-your-customer (KYC) registry, as it pushes further into the compliance space with the creation of a dedicated unit.
Commoditizing Secret Sauce
Don't over-egg the omelet.
LPFA Appoints Martin as CEO
The London Pensions Fund Authority (LPFA) has announced the appointment of Susan Martin, who takes over as the scheme's permanent chief executive.
Finra Identifies HFT, Algo Integrity as Regulatory Priorities
The Financial Industry Regulatory Authority (Finra), a self-funded regulatory organization charged with overseeing US brokers and exchanges, has released a letter outlining its list of regulatory priorities for 2014, among them high-frequency trading …
Eurex Takes Small Taifex Stake
Derivatives bourse Eurex has announced that it has taken a five-percent stake in the Taiwan Futures Exchange (Taifex).
Hilgers Takes Over as Optiver Chief
Paul Hilgers has become the new CEO of proprietary trading firm Optiver, the company announced, taking over from outgoing head Johann Kaemingk.
Finra Eyes New Surveillance System
The US Financial Industry Regulatory Authority (Finra), a self-funded regulatory organization tasked with overseeing American brokers, is soliciting comment over a proposal for new method of collecting data on investment sales activities.
2013 in Perspective: The Webcasts
It's been a remarkable year for the financial services industry, and as the leading title covering the applications of IT in the capital markets, Waters has extensively covered developments across all platforms, including our ever-popular webcast series.
Markit Connects to HKMA Trade Repository
MarkitSERV has connected to the Hong Kong Monetary Authority's (HKMA) trade repository, the data provider has announced.
2013 Cover Stories: The Sell Side
As 2013 draws to a close, we look back over the year's coverage, and focus on the sell-side executives profiled for the magazine's monthly cover story.
Home Is Where the Hearth Is
I always think it’s interesting to see where people go for Christmas. Or perhaps, more accurately, where home is for them. My cousins, for instance, while they live and work in London, will probably never consider the city to be ‘home’, as such. For them…
Esma Updates Derivatives Reporting Guidance
The European Securities and Markets Authority (Esma) has clarified its position on the reporting of derivatives, updating an online Q&A with the scope of requirements, as well as the counterparties that it expects to report transactions.
Citicom Partners Tango for Call Recording
Citicom Solutions has announced a partnership with Tango Networks, where the latter will provide a network-based voice recording facility for Citicom Assure.
CSD Regulation Gains Provisional Trilogue Agreement
The long-mooted EU regulation governing the operation of central securities depositories (CSDs), known in industry shorthand as CSD Reg, gained provisional agreement in trilogue yesterday.
BayernLB Joins Eurex OTC Clear
Bayerische Landesbank (BayernLB), one of Germany's largest regional banks, has joined the EurexOTC Clear service as a clearing member for interest-rate swaps.
MainstreamBPO Expands DST HiPortfolio Usage
Sydney-based fund administration provider has expanded its use of DST Global Solutions' HiPortfolio product, to support large-scale growth.
Bloomberg's Compliance Center Move Marks Wider Chat Concerns
Bloomberg has announced the consolidation of its existing communications-related compliance tools into Compliance Center, a single dashboard containing administration, monitoring, search, and retention capabilities supporting real-time views into firm…
Compliance Edges Indata for Quantum Capital
Quantum Capital, a San Francisco, Calif.-based investment manager, has gone live with Indata's Intelligent Portfolio Management (iPM) software.
Numerix Names Carley as EMEA MD
Analytics provider Numerix has announced the appointment of Tim Carley, who will become the firm's managing director of the EMEA sales territory.