Waters Wavelength Podcast Episode 3: Dark Pools, SEC, Enterprise Risk
Dan and Anthony discuss the recent fines levied against dark pools and enterprise risk analytics.
![hjp8bk09 hjp8bk09](/sites/default/files/styles/landscape_750_463/public/import/IMG/473/339473/waterswavelength.png.webp?h=e8375507&itok=RMAnMrDw)
Dan and Anthony open things up discussing tips on submitting an entry for the Sell-Side Technology Awards (1:22). They then chat about the recent fines handed down by the SEC and NYAG to Barclays' and Credit Suisse's dark pools (5:49), Dan's profile on SEC CIO Pamela Dyson (12:44) and Tony's feature on enterprise risk (17:40). Finally, they wrap things up by chatting about the Super Bowl (23:40) and its commercials (26:17).
If you have a SoundCloud account, be sure to subscribe to our page. You can find our account here.
Please note: If you are using Google Chrome as your browser than you will not be able to skip ahead on the podcast in the embedded player on our page. Head directly to the episode on SoundCloud to be able to do that.
Links to articles discussed:
Barclays, Credit Suisse Acquiesce to SEC Dark Pool Settlements
The Industry Reacts to Dark Pool Fines
Won't Back Down: SEC CIO Pamela Dyson
Risky Alternative: Solving Enterprise Risk for Alternative Investments
Super Bowl Commercials for the Capital Markets
As is the case with everything we do, we'd love to get some feedback from our listeners. Feel free to reach out to Anthony or Dan via Twitter or email.
Anthony: @a_malakian; Anthony.Malakian@incisivemedia.com
Dan: @dandefrancesco; Dan.DeFrancesco@incisivemedia.com
Also, don't forget to follow our social media accounts:
Past episodes:
Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.
To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe
You are currently unable to print this content. Please contact info@waterstechnology.com to find out more.
You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.
Copyright Infopro Digital Limited. All rights reserved.
As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (point 2.4), printing is limited to a single copy.
If you would like to purchase additional rights please email info@waterstechnology.com
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (clause 2.4), an Authorised User may only make one copy of the materials for their own personal use. You must also comply with the restrictions in clause 2.5.
If you would like to purchase additional rights please email info@waterstechnology.com
More on Regulation
Chevron’s absence leaves questions for elusive AI regulation in US
The US Supreme Court’s decision to overturn the Chevron deference presents unique considerations for potential AI rules.
Aussie asset managers struggle to meet ‘bank-like’ collateral, margin obligations
New margin and collateral requirements imposed by UMR and its regulator, Apra, are forcing buy-side firms to find tools to help.
The costly sanctions risks hiding in your supply chain
In an age of geopolitical instability and rising fines, financial firms need to dig deep into the securities they invest in and the issuing company’s network of suppliers and associates.
Industry associations say ECB cloud guidelines clash with EU’s Dora
Responses from industry participants on the European Central Bank’s guidelines are expected in the coming weeks.
Regulators recommend Figi over Cusip, Isin for reporting in FDTA proposal
Another contentious battle in the world of identifiers pits the Figi against Cusip and the Isin, with regulators including the Fed, the SEC, and the CFTC so far backing the Figi.
US Supreme Court clips SEC’s wings with recent rulings
The Supreme Court made a host of decisions at the start of July that spell trouble for regulators—including the SEC.
This Week: FCA, Plato/Turquoise, Franklin Templeton, and more
A summary of the latest financial technology news.
Insurers deny cyber premiums are rising
Contrary to banks’ complaints, underwriters and brokers claim current market for policies is soft.