compliance

Ethics: Yesterday, Today and Tomorrow

Ethics: Yesterday, Today and Tomorrow

In this video from MarketsWiki Education’s World of Opportunity event in Chicago, Exchange Analytics President Larry Israel talks about the role of ethics in the futures industry with the 1989 FBI sting at the CBOT and CME serving as a historical starting point.

Jim Hourihane – Careers in Compliance

Jim Hourihane – Careers in Compliance

“We’re trying to ensure market integrity, we’re trying to make sure investors are protected and we’re making sure all of our members are doing the right thing and following all the rules.” In this video from MarketsWiki Education’s...

Context for Compliance: The Big (Bad) Behavior Picture

Analyzing all the trading data out there is difficult, especially for regulatory purposes. Compliance officers have to take the big picture into account when examining data for bad behavior in the markets. Jim Austin, the CEO of Vertex Analytics, Inc., announced that...

Counter (party) intuitive – Fidessa White Paper

by Steven Strange, Compliance Product ManagerPressures from all sides are driving buy-side firms around the world to pay ever-closer attention to counterparty exposure. Asset managers are looking critically at their existing processes for monitoring and controlling...

Ed Boyle, BOX Options Exchange – The Crystal Ball

"The successful firms in this industry looked at the history, saw the change coming, and reacted by getting ahead of it."Ed Boyle believes that everyone has access to a crystal ball. The trick, however, is to make sure it is tuned to the right frequency. He says the...

FIA Expo: Acid washed options

The clear message from FIA Expo was that the options industry needs market makers and regulators are making it hard on market makers.  At the risk of sounding like "South Park's" Mr. Mackey, that's bad, m'kay?Adding to the current quandary of market makers in the...

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