Friday, April 10, 2020

BMO Completes Clearpool Acquisition

BMO Completes Clearpool Acquisition
Clearpool continues to be a separate broker-dealer with information barriers to secure clients' confidential information.

Moving Forward with RegBI – Communicate Early and Often

Moving Forward with RegBI – Communicate Early and Often
Despite calls to delay RegBI, her are some suggestions on how to cope with implementation in COVID !9 world.

Division of Trading and Markets Staff Statement Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns

Division of Trading and Markets Staff Statement Regarding Requirements for Certain Paper Submissions in Light of COVID-19 Concerns
In response to COVID-19 issues, the regulator relaxes certain paper document requirements

Research Management Platforms Poised for 100% Adoption Within 2 Years

Research Management Platforms Poised for 100% Adoption Within 2 Years
Improved team efficiency, better data security and work-from-anywhere capability driving large-scale adoption.

Trading Loses ‘Color’

Trading Loses ‘Color’
A traderless NYSE floor.

Finding Your Match: Five Questions for your Prime Broker

Finding Your Match: Five Questions for your Prime Broker
Some platforms really do not perform well in adverse circumstances, because some of the commodified services don’t attend to some of the basics of service.

SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus

SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
Permits funds to use additional funding and other tools to manage their portfolios for the benefit of investors.

ESMA Sets Out Delayed Approach on MiFIR Tick-Size Regime for SI

ESMA Sets Out Delayed Approach on MiFIR Tick-Size Regime for SI
This approach is needed in response to developments related to the COVID-19 pandemic and the related actions taken by the EU Member States.

Deutsche Bank Proposes Three for Supervisory Board

Deutsche Bank Proposes Three for Supervisory Board
Elections will be held at the annual General Meeting on May 20.

Here’s to the Crazy Ones: The Earth Is Flat!

Here’s to the Crazy Ones: The Earth Is Flat!
Technology disruption goes much further than we think.

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