February 27, 2012 - The Securities and Exchange Commission today released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.The Risk Alert issued by the agency's Office of Compliance Inspections and Examinations (OCIE) notes that although broker-dealers and investment advisers are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.
February 24, 2012 - The European Securities and Markets Authority (Esma) has given national securities watchdogs two months to declare their plans for enforcing new rules on scrutinising high frequency trading activities.
February 21, 2011 - Globally, Celent expects firms to spend in excess of $35 billion in 2012 on core risk management and risk-related regulatory compliance. These constitute a significant part of total technology spending across banking, insurance, securities, and investment management sectors in North America, Europe, and Asia-Pacific, growing to $50.6 billion in 2015.
February 17, 2012 - Leading banks, telcos, handset device manufacturers and app developers will gather under one roof next month to debate the future of mobile banking and payments services at the first annual MobeyDay conference in Barcelona.
February 10, 2012 - The Royal Bank of Scotland (RBS) has reacted to the ongoing regulatory probe into potential interest-rate manipulation by firing at least four employees.
February 10, 2012 - The Commodity Futures Trading Commission (CFTC) has voted to set up a subcommittee on high frequency trading in a bid to better understand its effects on the market.
February 10, 2012 - The Royal Bank of Scotland (RBS) has reacted to the ongoing regulatory probe into potential interest-rate manipulation by firing at least four employees.
February 6, 2012 - A new IDC MarketScape report from IDC Financial Insights looks at identity and access management (IAM) and establishes vendor market positions based primarily on customer value delivered and future vision. IDC Financial Insights defines IAM as a comprehensive set of solutions used to identify users of a system and control their access to resources of that system by associating user rights and restrictions with an established identity.
