Regulation Archive

Turquoise, the pan-European multilateral trading facility, has deployed a real-time and post-trade market surveillance system supported by Progress Apama’s complex event processing (CEP) platform. read more>

Impax Asset Management, an investment house that specialises in environmental projects, has selected three products from trading technology firm Linedata Services to help manage its growth. read more>

The impact of the credit crunch on leading investment banks has taken the regulatory heat off hedge funds for the time being - and the Hedge Fund Standards Board intends to keep it that way. read more>

Two self-regulatory organisations for the US securities industry, NYSE Regulation and the Financial Industry Regulation Authority (FINRA), have announced an agreement with 10 US exchanges to protect investors against insider trading. read more>

The Securities and Exchange Commission (SEC), the US financial regulator, has issued an emergency order to improve investor protections against ‘naked’ short selling. read more>

BATS Europe, the pan-European multilateral trading facility operated by US execution venue BATS Trading, is to launch in early November this year, Randy Williams, BATS Trading’s vice-president of sales and communications, told theTRADEnews.com. read more>

The Securities and Exchange Commission, the US financial regulator, has increased its efforts to stamp out the deliberate spreading of false rumours to manipulate securities prices. read more>

As the strategies of hedge funds and more traditional asset managers converge, three categories of buy-side firm are emerging, according to Dr. Anthony Kirby, director, financial services advisory, regulatory and risk management at consulting firm Ernst & Young. read more>

Weeden & Co, a full-service US institutional broker, has teamed with financial software provider Pragma Financial Systems to offer second-generation anti-gaming logic for dark pools. read more>

The Financial Services Authority (FSA), the UK’s financial regulator, is to issue new disclosure rules on contracts for difference (CfDs). read more>