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Bloomberg Settles Charges It Misled Tradebook Customers

May 13, 2020 by Louis Chunovic

Bloomberg Settles Charges It Misled Tradebook Customers

The U.S. Securities and Exchange Commission has filed “settled charges” against registered broker-dealer Bloomberg Tradebook LLC, founded in 1996 but no longer in operation, for “making material misrepresentations and omitting material facts” about how the firm handled certain customer trade orders. Bloomberg Tradebook has agreed to be censured and will pay a $5 million dollar… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, FinTech Trends, Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: back office, Bloomberg Tradebook, broker operations, broker-dealer, compliance, data management, financial penalty, operational risk, regulation, SEC

Bloomberg Tradebook Launches OPTX to Overhaul Trade Execution

March 7, 2017 by Eugene Grygo

OPTX to Work with Bloomberg Professional Services International agency broker Bloomberg Tradebook is attempting to overhaul the agency business model with the launch of the OPTX single platform that exploits quantitative data models and analytics to optimize order routing and other aspects of electronic execution operations. Bloomberg Tradebook works with buy- and sell-side firms to… Read More >>

Filed Under: Securities Operations, Settlement, FinTech Trends, Performance Measurement Tagged With: blockchain, Bloomberg Tradebook, DMA, Irish Funds Industry Association, Kensho Technologies, OPTX, S&P Global

Glitch Halts ETP Trading for NYSE Arca

December 20, 2016 by Eugene Grygo

ETP Transactions Impacted by NYSE Arca Halt Exchange-traded product transactions via NYSE Arca were halted for 15 minutes on the morning of Monday, Dec. 19, because of a complication caused by a software upgrade, according to New York Stock Exchange officials. “We identified an issue on NYSE Arca Equities (our electronic market for ETPs [including… Read More >>

Filed Under: Securities Operations, Corporate Actions, General Interest, FinTech Trends, Industry News Tagged With: Bloomberg Tradebook, corporate actions, Exchange Data International, New York Stock Exchange (NYSE), NYSE ARCA, reference data

Survey Finds Asset Managers Want to Centralize Investment Data as Interactive Brokers Embraces ISO 20022 for Corporate Actions

June 25, 2013 by Eugene Grygo

Aite Group Finds Support Growing for Investment Book of Records Approach Asset managers and wealth management firms are moving toward an unobstructed, holistic view of their investment data as they embrace an investment book of records (IBOR) approach, says Rick McCarthy, vice president of sales and marketing for the Americas at DST Global Solutions. The… Read More >>

Filed Under: Data Management, General Interest, FinTech Trends, Standards, Industry News Tagged With: Aite Group, Bloomberg Tradebook, Broadridge, DST Global Solutions, DTCC, Interactive Brokers, ISO 20022, Lighthouse Partners, Numerix

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