Webcasts

Waters Technology Webcast: Risk and Reward

Featuring Bill Nosal, Head of Product Management, SMARTS
Broker Compliance and Surveillance, NASDAQ OMX

Questions of extraterritoriality, market surveillance and the role of technology when it comes to dealing with new regulation, took precedence during a recent Waters webcast on the topic, along with elements of risk introduced by the sheer number of new rules that firms are expected to comply with.
By James Rundle

Topics covered by the webcast:

• The ways in which firms are challenged by the frequency of new regulation, and the number of different directions it is coming from, along with short timeframes for compliance.
• The role of technology in managing this global reform, from swaps reform through to market surveillance and other areas.
• Managing the risk of regulatory arbitrage, and debating questions over more harmonized approaches to global regulation.
• How vendors, institutions and regulators can work more closely with one another to reduce the risks inherent in non-compliance, particularly in fragmented regulatory environments such as the ones international firms operate in.

View webcast

Market Monitoring: Demonstrating Appropriate Controls within FSA's New Rules

Layering, spoofing and insider dealing -- like many firms who
received notice in December, you may be grappling with the
most effective way to introduce or improve monitoring for these
specific behaviors.

Join SMARTS surveillance experts from NASDAQ OMX for a
complimentary presentation and practical workshop showing:

• What behaviors are competent authorities enforcing?
• How can you identify these behaviors?
• What parameters should you incorporate?
• You’ve found evidence of abuse -- what next?

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April 2013

Leveraging Real-Time Risk Management to Combat the Perfect Storm

Summary: Given the advancements in technology, the speed of trading, and the dangerous conditions which the two may create, can firms afford to not comply with regulation?
How can firms better mitigate their risk to both meet regulatory requirements and keep their businesses safe?

• Can investment in risk management help bring back investor confidence?
• Observations from the field: What approaches are firms taking to keep their risk under control and how are they planning for future regulatory initiatives?

Speakers:

• Adam Sussman, Partner, Director of Research, TABB Group
• Gary LaFever, Chief Corporate Development Officer, FTEN, a NASDAQ OMX Company

View the video » (45m 11sec)

Large Trader Reporting: New Dates, New Responsibilities

An interactive discussion to update market participants on changes to SEC Rule 13H-1, their implications and next steps in the relief proces.

Speakers:

• Manisha Kimmel, Executive Director, Financial Information Forum
• Jim Toes, President, Security Traders’ Association
• Gary LaFever, Chief Corporate Development Officer, FTEN, a NASDAQ OMX Company

Understanding Your Large Trader Reporting Responsibilities

On the heels of the Market Access Rule, another rule has made its way to the forefront., Large Trader Reporting Rule (SEC Rule 13h-1) has implications for both buy- and sell-side firms. Listen to an interactive discussion aimed at helping you better understand 13h-1.

Speakers:

• Tom Jordan, Advisory Chair, Financial Information Forum
• Manisha Kimmel, Executive Director, Financial Information Forum
• Jim Toes, President, Security Traders’ Association
• Gary LaFever, Chief Corporate Development Officer, FTEN, a NASDAQ OMX Company

Cross-Market Surveillance is Essential in an Era of Market Fragmentation

Cross-market risk management and surveillance pose serious challenges to surveillance and compliance technology functions inside a broker-dealer. Various regulations have heightened demand for more robust capabilities for market surveillance and risk,. Session discusses

• Challenges of implementing standards to satisfy new cross-market rule
• Implications for compliance and risk management functions and predictions for the future.
• The importance of integrating your firm’s data collection, surveillance and risk management tools to promote an effective, holistic market surveillance and risk methodology.

Speakers:

• Adam Honoré, Research Director, Aite Group
• Gary LaFever, Chief Corporate Development Officer, FTEN, a NASDAQ OMX Company
• Michael O’Brien, Global Head of Product Management, SMARTS Broker, NASDAQ OMX

View the video » (58m 59sec)