ESMA Publishes Updated AIFMD And UCITS Q&As
The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD) and...
View ArticleNew York State Department of Financial Services Fines BNP Paribas $350...
Financial Services Superintendent Maria T. Vullo today announced that BNP Paribas S.A. (BNPP) and its New York branch will pay a $350 million fine as part of a consent order entered into with the New...
View ArticleCordium Announces Expansion Of US Broker-Dealer Services
Cordium, a market-leading provider of governance, risk and compliance services, today announced an expansion of its compliance services for US and foreign broker-dealers and investment advisers with...
View ArticleCFTC Swaps Report Update
The CFTC Swaps Report provides a detailed weekly snapshot of the gross notional outstanding as of the penultimate Friday prior to the CFTC Swaps Report’s Wednesday publication date, as well as a...
View ArticleNasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As...
At the end of the settlement date of May 15, 2017, short interest in 2,326 Nasdaq Global MarketSM securities totaled 7,420,291,077 shares compared with 7,409,700,882 shares in 2,322 Global Market...
View ArticleMIAX Options: Obvious Errors In Complex Orders
MIAX Options recently filed with the Securities and Exchange Commission a new harmonized rule, MIAX Options Rule 521, Interpretations and Policies .03, relating to Obvious Errors in complex orders in...
View ArticleMIAX Options: Obvious Errors In Complex Orders
MIAX Options recently filed with the Securities and Exchange Commission a new harmonized rule, MIAX Options Rule 521, Interpretations and Policies .03, relating to Obvious Errors in complex orders in...
View ArticleFinancial Time Series Forecasting: Semantic Analysis Of Economic News....
The paper proposes a method of financial time series forecasting taking into account the semantics of news. For the semantic analysis of financial news the sampling of negative and positive words in...
View ArticleA Quantum-like Model of Selection Behavior. (arXiv:1705.08536v1 [q-fin.EC])
In this paper, we introduce a new model of selection behavior under risk that describes an essential cognitive process for comparing values of objects and making a selection decision. This model is...
View ArticleRogues of Wall Street: How to Manage Risk in the Cognitive Era
Rogues of Wall Street analyzes the recent risk failures and errors that have overwhelmed Wall Street for the past decade. Written by a veteran risk, compliance, and governance specialist, this book...
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The Leadership Challenge: How to Make Extraordinary Things Happen in...
The Leadership Challenge is the gold-standard manual for effective leadership, grounded in research and written by the premier authorities in the field. With deep insight into the complex interpersonal...
View ArticleThe Cyber Risk Handbook: Creating and Measuring Effective Cybersecurity...
The Cyber Risk Handbook is the practitioner's guide to implementing, measuring and improving the counter-cyber capabilities of the modern enterprise. The first resource of its kind, this book provides...
View ArticleTrap Tales: Outsmarting the 7 Hidden Obstacles to Success
Outsmart the traps that are holding you back from success!read more...
View ArticleTel Aviv Stock Exchange Launches Harel, Partner And Cellcom Stock Options
The Tel Aviv Stock Exchange (TASE) launches today trade in stock options of the telecommunications companies, Partner Communications Company Ltd. and Cellcom Israel Ltd., as well as of Harel Insurance...
View ArticleUK Financial Conduct Authority Statement On The Publication Of The FX Global...
The FCA welcomes today’s publication of the FX Global Code(link is external). As we set out in our Mission, standards can be a useful way for the industry to police itself in support of our regulatory...
View ArticleAlberta Securities Commission Announces The Appointment Of Three New...
The Alberta Securities Commission (ASC) is pleased to announce that the Lieutenant Governor in Council has appointed Trudy Curran, ICD.D, Karen Kim, CA, CFA, and James Oosterbaan, ICD.D as ASC members,...
View ArticleOntario Securities Commission Publishes Paper On Responsive Market Regulation
The Ontario Securities Commission (OSC) today released A Framework for Responsive Market Regulation, a paper presented at Oxford University that addresses how Canadian regulators are responding to...
View ArticleClassifications of Innovations Survey and Future Directions....
The purpose of this paper is to focus on similarity and/or heterogeneity of taxonomies of innovation present in the economic fields to show as the economic literature uses different names to indicate...
View ArticleBlockchain For Dummies
Blockchain is the technology behind Bitcoin, the revolutionary 'virtual currency' that's changing the way people do business. While Bitcoin has enjoyed some well-deserved hype, Blockchain may be...
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