Regulation February 22, 2022 10:39 AM GMT A year since Biden’s inauguration: Has SEC enforcement increased post-Trump? Brian Lynch, President of SteelEye US, talks to The TRADE about the changing landscape for financial regulation in the US: with a rundown of the latest changes and a look at what might yet be to come.
Buy-Side July 6, 2017 5:35 AM GMT Head of trading: a role redefined Heads of trading desks are spending less time trading than ever before as rapidly-evolving regulations are shifting their daily priorities.
Post-Trade January 17, 2017 7:16 AM GMT DTCC hires former regulator for trade repository compliance Derek West will join the DTCC with responsibility for compliance at its Global Trade Repository.
Sell-Side March 15, 2016 9:02 AM GMT ITG poaches RBC Capital Markets compliance officer ITG hopes its new man will help create a ‘rigorous compliance culture’.
Buy-Side November 17, 2015 6:37 AM GMT Former Aviva analyst banned for trading exploits Aviva Investors analyst exploited systems weaknesses to cherry pick trades.