November 29, 2010 Issue Abstract


Risk Management: New Dimensions in Trading Complexity Are Making

Best Practice Guidelines for Control of Risk Outdated. Where the desire for data runs low at financial firms, risks tend to tower to their highest peaks. A survey sponsored by Sybase and conducted by the Global Association of Risk Professionals (GARP) uncovers astonishing facts.


Industry Alert: Revised GIPS Standards to Take Effect in January 2011. Changes include risk disclosure and using fair-value reporting methods for investment management firms that seek to claim compliance with the Global Investment Performance Standards.


Editor’s Comment: Infrastructure Refresh. So many ad hoc interfaces between disparate systems have created a patchwork quilt of lumbering technologies. Streamlined data management requires clearing the jumble.


European Market Monitor: NYSE Euronext to Debut Pan-European Consolidated Tape. The project is the brainchild of NYSE Technologies and will likely see light of day in Q3 2011.


Spotlight: Equiduct Offers a Trading Platform Targeting Retail Flows While Keeping an Eye on Expansion to Wholesale Trading. A conversation with Peter Randall, CEO of Equiduct, which operates as a market segment of the Börse Berlin (BSX) and is majority owned by Citadel Securities since May 2009.


Corporate Actions: Financial Firms Seek to Allay Corporate Actions Pains. Interest in automating corporate actions processes is rising, albeit not yet surging industry-wide. Who’s leading the way forward?


Business Strategies: Broadridge Buys Matrix, a Funds-Processing Provider.  The $201 million cash deal underscores an increasing commitment to the Mutual Funds Processing Solutions unit at the firm.


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