Equity market structure
Profiles of buy-side investment firms
The evolution of multi-asset-class trading
Regulation and its implications for markets
The search for liquidity in fixed income markets
The convergence of fintech and capital markets

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CFTC Fines BGC Financial $3 Million for Poor Recordkeeping

The regulator cites numerous supervision, reporting, and recordkeeping violations spanning over five years.

11.22.2019 By Rob Daly |

The regulator cites numerous supervision, reporting, and recordkeeping violations spanning over five years.

SmartIRA Acquires Greytwist Compliance Platforms

The asset sale include the vendor's due diligence offerings for companies and individuals.

The last major aspect of Senior Managers and Certification Regime takes effect in December.

08.30.2019 By Terry Flanagan | Terry Flanagan is Managing Director at Markets Media Group, where he oversees the Markets Media, Traders Magazine, and GlobalTrading platforms. A former Bloomberg reporter and editor, as well as a financial research analyst, his primary goal is to make MMG content as high-quality and engaging as possible. Terry earned the Chartered Financial Analyst designation in 2001. In his free time, Terry likes to handicap horse races, host podcasts, and rewatch 1980s movies.

SIX, SimCorp Partner on Securities Monitoring

Aim is to streamline compliance processes around sanctions.

06.24.2019 By Terry Flanagan | Terry Flanagan is Managing Director at Markets Media Group, where he oversees the Markets Media, Traders Magazine, and GlobalTrading platforms. A former Bloomberg reporter and editor, as well as a financial research analyst, his primary goal is to make MMG content as high-quality and engaging as possible. Terry earned the Chartered Financial Analyst designation in 2001. In his free time, Terry likes to handicap horse races, host podcasts, and rewatch 1980s movies.