February 7, 2011 Issue Abstract

 

Market Surveillance: Investigations and Post-Crisis Lessons Stress Need to Invest in Real-Time Surveillance Technologies. Risk management and regulatory reporting may be top-of-mind issues, but surveillance tools for detecting market manipulation or illicit trading are also coming to the fore at financial institutions.

 

Industry Alert: Pension Woes Offer Clues to IT Challenges Ahead. Investment managers need to be prepared for more frequent reporting, improved risk management, and cost-effective operations.

 

Editor’s Comment: Cyber Roguery. Increasingly electronic and interlinked markets spanning a breadth of asset classes globally may enlarge the scope of criminal activities.

 

Canadian Market Monitor: Legacy Systems Create an Operational Impasse in Canada. Respondents in a survey commissioned by Omgeo say antiquated systems hinder operational efficiency as Canadian regulatory rule NI 24-101 seeks T+1 matching of institutional trades.

 

Spotlight: Dot-Com Survivor Gravitas Finds Fertile Niche Offering Hedge Funds Outsourced Analytics Assistance and IT. Jayesh Punater, Chief Executive Officer, Gravitas, says knowledge process outsourcing (KPO) is alpha-additive and cost efficient.

 

Regulatory Reform Update: Sifma Seeks Coordination on Legal Entity Identifiers. In the wake of Dodd-Frank legislation, various industry groups are working with the US Treasury’s Office of Financial Research to create uniform legal entity identifiers (LEIs) in the quest to reduce systemic risks.

 

Block Trading: Swiss Exchange, Liquidnet to Forge Trading Platform Link. The goal is to give SIX Swiss Exchange members access to Liquidnet’s buy-side market.

 

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