Tag: compliance

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

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 hopes its new man will help create a ‘rigorous compliance culture’.

Buy-Side November 17, 2015 6:37 AM GMT

Aviva Investors analyst exploited systems weaknesses to cherry pick trades.