ACA Compliance Group
Waters Wavelength Ep. 299: ACA Group’s Carlo di Florio
Carlo di Florio joins the podcast to discuss regulations.
Fighting FAIRR: Inside the bill aiming to keep AI and algos honest
The Financial Artificial Intelligence Risk Reduction Act seeks to fix a market abuse loophole by declaring that AI algorithms do not have brains.
This Week: Broadridge/TSE, BlackRock, Tradeweb, Finos, and more
A summary of the latest financial technology news.
SEC squares off with broker-dealers over data analytics usage
The Gensler administration has ruffled feathers in the broker-dealer community with a new proposal seeking to limit their use of predictive data analytics. But at the heart of this deal is something far more seismic: one of the first attempts by the SEC…
This Week: Sk3w, HKEX, JSE, Finos, and more
A summary of the latest financial technology news.
Reg SCI expansion set to increase broker-dealer systems scrutiny, reporting
The SEC is preparing to drastically expand the scope of Regulation SCI, which covers IT systems critical to the smooth functioning of the markets. But in the absence of formal proposals so far from the regulator, how can affected firms prepare for new…
People Moves: TP Icap, ACA Group, BNP Paribas, Morningstar, and more
A look at some of the key people moves from this week, including Marie Luchet (pictured), who joins ACA Group as managing director of ESG.
People Moves: SteelEye, Northern Trust, LPA, Tora, and more
A look at some of the key "people moves" from this week, including Brian Lynch (pictured), who joins SteelEye as president of US operations.
From burst to bust: What happens when cloud runs dry?
After years of initial resistance, the capital markets have come to depend heavily on the compute capacity of the public cloud. But increasing market volumes are rapidly outpacing the cloud capacity that organizations thought would be sufficient for…
This Week: Macrobond/FactSet, Tradweb, Bloomberg, DTCC, and more
A summary of some of the past week’s financial technology news.
Waters Rankings 2021: Best AML compliance solution provider—ACA Compliance
Product: ACA ComplianceAlpha
People Moves: BNY Mellon, BNP Paribas, Liquidnet, and more
A look at some of the key "people moves" from this week, including Winnie Chen (pictured), who joins BNY Mellon as APAC head of treasury services.
People Moves: Rimes, LCH, LSEG, ACA
A look at some of the key people moves from the past week, including Brad Hunt (pictured), who joins Rimes Technologies as its new CEO.
A kick in the privates: In-demand unlisted stock trading faces tech, transparency challenges
Private stocks are opaque, illiquid, behave differently from public markets, and lack the same infrastructure as public marketplaces, creating back-office integration challenges for firms that want to trade these stocks in a more liquid manner. But as…
Back-office automation key to breaking open private markets
Trading in large, privately-held stocks has hitherto been the domain of large private equity investors. A new technology platform aims to make these markets more accessible to broker-dealers by integrating with the back-office processes that firms…
People Moves: Carmignac, Broadridge, Wall Street Horizon, ACA Compliance, Baton Systems & more
A look at some of the key "people moves" from this week, including Abdellah Bouziane (pictured) who has been appointed global head of compliance at Carmignac.
This Week: State Street/Simcorp, Bloomberg, ACA, Broadridge & More
A look at some of the past week’s financial technology news.
ACA Compliance to Make Flagship Platform More Customizable
ComplianceAlpha is a compliance and risk management platform that also provides trade surveillance and cybersecurity capabilities.
Covid Could Cause US Regulators to Rethink Surveillance
Not having specific requirements and procedures for firms to refer to ended up putting some funds in a tough place during the pandemic’s early days.
Aegon Asset Management Partners with ACA Compliance for Surveillance
The firm is using ACA's Decryptex to identify fraudulent trading behavior.