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November 29, 2012
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News for operations and technology executives in financial services

  Top Story 
  • Concerns emerge about fragmentation of derivatives trade data
    The Commodity Futures Trading Commission has approved CME Group's application to operate a swaps-data repository. CME joins IntercontinentalExchange and Depository Trust and Clearing in offering such services. However, the situation is prompting concerns about fragmentation of over-the-counter derivatives trade data, according to this article. The Trade News (U.K.) (11/27) LinkedInFacebookTwitterEmail this Story
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  Operations Update 
  • Big Data could help firms clamp down on rogue traders
    Software that tracks and analyzes Big Data could help financial firms more quickly identify rogue traders who engage in unauthorized activity. Using Big Data to model employee behavior, Cataphora of Menlo Park, Calif., develops systems that can spot insider risks such as fraudulent trading. Traders Magazine Online (11/27) LinkedInFacebookTwitterEmail this Story
  • Eurex exec discusses segregated account services
    Byron Baldwin of Eurex discusses efforts to protect customer funds in this video. Baldwin says events including the collapse of MF Global have increased the need to ensure that client money is safe and to restore confidence in the system. (11/26) LinkedInFacebookTwitterEmail this Story
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  Sponsored Poll 
  • For complete results from the poll questions below, please watch your inbox Dec. 12 for the SIFMA SmartBrief Operations and Technology Best of 2012 special edition.
  • Has your firm's operations returned to business-as-usual after superstorm Sandy?
Yes -- We have full use of facilities, primary sites, etc.
No -- We are still using backup sites, cannot access facilities fully, personnel displaced, etc.

  • What is the most important issue driving your firm's strategic operations and technology planning for 2013?
"Fiscal cliff"
Regulatory environment
Cost savings
Domestic and foreign legislative developments

  Technology Update 
  Regulatory and Legislative Update 
  • SEC looks at exchanges' dealings with high-frequency traders
    As the Securities and Exchange Commission looks into high-frequency trading, the regulator is widening its inquiry to find out whether exchanges are showing favoritism toward sophisticated traders who use high-tech systems. The agency is worried that exchanges are giving high-frequency traders more information about how their systems work than they provide to their other customers. Wall Street & Technology (11/20) LinkedInFacebookTwitterEmail this Story
  SIFMA News 
  • Plan Your Lodging for SIFMA's C&L Society Annual Seminar- March 17-20 - Phoenix
    SIFMA’s Compliance & Legal Society Annual Seminar 2012 was attended by 1,700 financial industry legal and compliance professionals and featured more than 60 panels and sessions, creating the premier forum to discuss the issues and share expertise and insights into critical topics for varied interests. This year’s 2013 program in Phoenix on March 17-20 will be no different. The hotel room block at the J.W. Marriott Desert Ridge is SOLD OUT, but the event has several overflow hotels available for conference members. We encourage participants to make accommodations as soon as possible, learn more about lodging. LinkedInFacebookTwitterEmail this Story
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I ask not for a lighter burden, but for broader shoulders."
--Jewish proverb

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