Compliance

The Struggle to Implement Dodd-Frank Act Changes

Surveys of financial services industry CEOs and operations executives find that a majority recognize that the US Dodd-Frank Act and the SEC’s implementation thereof will force them to change their business models. Yet the same researchers indicate that…

Surveillance's Painful Proposition

Last week at during its board of governors meeting, the Security Traders Association (STA)-a U.S.-based advocacy organization for securities traders-responded to the U.S. Securities and Exchange Commission's (SEC's) concept release on market structure.

Orange to Launch Mobile Voice Recording Feature

Voice and electronic trading infrastructure and services provider Orange Business Services-Trading Solutions is launching a mobile phone recording device for traders, available April 12 to Orange Business Services users, officials tell DWT .

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