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Regulators Move to Refine Volcker Rule Requirements

August 21, 2019 by Eugene Grygo

Regulators Move to Refine Volcker Rule Requirements

Federal regulators overseeing financial markets are taking major steps to refine the Dodd-Frank Act’s Volcker Rule restricting proprietary trading so that it has a narrower focus. Since the recovery from the Great Recession, the rule, inspired by Paul Volcker, the former chairman of the U.S. Federal Reserve, has held back banks from proprietary trading and… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, General Interest, Governance, Back-Office, Integration, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: Dodd-Frank, Federal Deposit Insurance Corp, Gregg Gelzinis, hedge funds, Jelena McWilliams, Kenneth E. Bentsen, private equity funds, proprietary trading, securities industry, Volcker Rule, wall street

China Renaissance Deploys Fidessa Trading Systems

December 6, 2016 by Eugene Grygo

Firm Says Platform Will Help Its Outreach to Investors   China Renaissance, an investment banking, securities and investment management firm with headquarters in Beijing and Shanghai, has deployed an Asian trading platform from vendor Fidessa. The new IT backbone will support the expansion of the firm’s equities business across Asia via a centralized order management… Read More >>

Filed Under: Middle-Office, General Interest, FinTech Trends, Back-Office, Industry News Tagged With: Asia, China Renaissance, Fidessa, MiFID II, Options, order management, proprietary trading, Smartkarma, Societe Generale, Systematica Investments

Firms Ready but Wary as Volcker Rule Becomes Reality

July 16, 2015 by Ryan Boysen

When the Volcker Rule provision of Dodd Frank finally goes into effect on Tuesday, July 21, the banks affected will have already done most of the heavy lifting, industry observers say. But banks will still face an arduous few months as they struggle to pin down the practice of a law they’ve spent so long… Read More >>

Filed Under: Derivatives Operations, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: banks, CFTC, compliance, Dodd-Frank, hedging, KYC, proprietary trading, regulation, SEC, Volcker Rule

SEC Adopts Volcker Rule

December 10, 2013 by Eugene Grygo

The SEC has adopted a final version of the Volcker Rule in a 3-to-2 vote that is a milestone for regulatory reform on Wall Street.SEC Commissioners Daniel M. Gallagher and Michael S Piwowar voted against adoption of the restrictions upon banks and proprietary trading. SEC Chair Mary Jo White and SEC Commissioners Luis A. Aguilar… Read More >>

Filed Under: Derivatives Operations, Derivatives, Regulatory Compliance Tagged With: CFTC, Dodd-Frank, FDIC, Federal Reserve, financial regulation, Office of the Comptroller of the Currency, proprietary trading, SEC, Volcker Rule

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