Market Structure

27 Posts

What Is the Future of Financial Exchanges? (Video)

“While exchanges have a responsibility to provide fair and equal access to all market participants without violating public interest responsibility, they are dependent on a responsible financial ecosystem of lawyers, consultants, advisers, accountants, and managers of listed companies to avoid fraud by listed companies,” TMX Group CEO Thomas Kloet said recently at a program on “The Future of Exchanges.” Read more

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SEC Proposals for Systems Compliance and Integrity Bring Dark Pools into Scope

Dark Pools

In the wake of a string of technological mishaps affecting the financial markets, the SEC recently proposed Regulation SCI to strengthen the controls, policies, and procedures surrounding market technology. Rhodri Preece, CFA, examines the proposal, which would require exchanges, significant alternative trading systems, clearing agencies, and plan processors to meet certain core technology standards. Read more

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