Podcasts about consolidated audit trail

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

Steve Forbes blasts the FEC's Consolidated Audit Trail, a new database that will track every single stock transaction made each day, which he calls the "one of the most egregious violations of privacy ever."See Privacy Policy at https://art19.com/privacy and California Privacy Notice at https://art19.com/privacy#do-not-sell-my-info.

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

The privacy Americans should enjoy over their financial information has been in steady decline for more than 50 years. Regulatory frameworks, such as the Bank Secrecy Act and the Securities and Exchange Commission's Consolidated Audit Trail, grant government access to Americans' financial transactions. As financial services have become increasingly digitized, the volume of financial records to which the government has easy—and often unfettered—access has grown exponentially. And proposals for a central bank digital currency, which involve the government becoming more intimately involved in Americans' use of money, have the potential to further erode the ability to transact without government surveillance.As policymakers are confronted with questions about evolving technologies, the question of financial privacy must not be shunted to the side. It is time to rethink financial privacy. Does financial convenience have to come at the cost of financial privacy? Does the Constitution provide the protections needed to limit government access to financial information? Can decentralization provide privacy-protecting solutions? Join us for an outstanding program featuring leading policymakers and experts discussing financial privacy at Cato's Center for Monetary and Financial Alternatives annual conference. Hosted on Acast. See acast.com/privacy for more information.

Crypto markets show signs of a risk-on phase as Bitcoin Runes generates $162.4M in fees, outpacing BRC-20. BNB faces resistance at $560 while AI and Big Data projects surge 79.7% in market cap. Telegram's CEO arrest raises security concerns, and India intensifies scrutiny of the platform. Peter Brandt turns bullish on Bitcoin, predicting an imminent breakout. The SEC's Consolidated Audit Trail faces criticism over extensive data collection. Meanwhile, Shiba Inu's Shibarium experiences a significant drop in daily transactions, impacting its performance metrics. In gaming news, Hamster Kombat struggles with internal discord and declining token value, while BlockDAG's TG Tap Miner gains momentum, raising $68 million in presale. HOW CAN I SUPPORT YOU ASK? SUBSCRIBE:⁠RARE BITS PODCAST⁠    WATCH: ⁠RAREBITS LIVE YOUTUBE⁠   READ: RARE BITS SUBSTACK⁠  Follow on X: BEATBROKER RARE BITS LIVE GET SOME MERCH RARE BITS GEAR:⁠RARE BITS MERCH⁠

WMAL GUEST: 7:35 AM - INTERVIEW - ANDREW MORRIS - Senior Litigation Counsel, New Civil Liberties Alliance (NCLA) - discussed the unconstitutional Securities and Exchange Commission's “Consolidated Audit Trail” (CAT) – which is the largest government-mandated mass collection of personal financial data in American history. The Securities and Exchange Commission (SEC) is illegally collecting data of every citizen who invests in the stock market, according to a new lawsuit. The New Civil Liberties Alliance (NCLA) filed a lawsuit against the SEC claiming that the agency, through its "Consolidated Audit Trail," or "CAT," program, is collecting mass amounts of personally identifiable data by forcing brokers, exchanges, clearing agencies and alternative trading systems to capture and send detailed information on every investor's trades in U.S. markets to a centralized database. The agency is doing so, NCLA says, without authorization from Congress and in violation of the Fourth Amendment, which prohibits unreasonable government search and seizure of private information. NCLA Asks Court to Halt SEC's Unauthorized and Unlawful Mass Data Collection Regime Where to find more about WMAL's morning show:  Follow the Show Podcasts on Apple podcasts, Audible and Spotify. Follow WMAL's "O'Connor and Company" on X: @WMALDC, @LarryOConnor,  @Jgunlock,  @patricepinkfile and @heatherhunterdc.  Facebook: WMALDC and Larry O'Connor Instagram: WMALDC Show Website: https://www.wmal.com/oconnor-company/ How to listen live weekdays from 5 to 9 AM: https://www.wmal.com/listenlive/ Episode: Wednesday, May 29, 2024 / 7 AM Hour  O'Connor and Company is proudly presented by Veritas AcademySee omnystudio.com/listener for privacy information.

In the 7 AM Hour: Larry O'Connor and Patrice Onwuka discussed: WMAL GUEST: 7:05 AM - INTERVIEW - SHAWN CARNEY - CEO and President of 40 Days for Life – discussed the latest developments in Mark Houck's case against the DOJ.  The lawsuit, backed by 40 Days for Life's newly launched Institute of Law & Justice (ILJ), aims to challenge the unjust treatment of pro-life advocates and ensure their right to peacefully protest and advocate for the unborn. Washington Examiner: Anti-abortion activist Mark Houck sues DOJ over ‘retaliatory' arrest  TRUMP TRIAL CONTINUES TODAY: Trump trial live updates: Marathon closing arguments come to an end; jury to receive instructions at 10 a.m. ‘F*ck You!': Trump Supporters, Robert De Niro Get Into Shouting Match Outside Courthouse WMAL GUEST: 7:35 AM - INTERVIEW - ANDREW MORRIS - Senior Litigation Counsel, New Civil Liberties Alliance (NCLA) - discussed the unconstitutional Securities and Exchange Commission's “Consolidated Audit Trail” (CAT) – which is the largest government-mandated mass collection of personal financial data in American history. The Securities and Exchange Commission (SEC) is illegally collecting data of every citizen who invests in the stock market, according to a new lawsuit. The New Civil Liberties Alliance (NCLA) filed a lawsuit against the SEC claiming that the agency, through its "Consolidated Audit Trail," or "CAT," program, is collecting mass amounts of personally identifiable data by forcing brokers, exchanges, clearing agencies and alternative trading systems to capture and send detailed information on every investor's trades in U.S. markets to a centralized database. The agency is doing so, NCLA says, without authorization from Congress and in violation of the Fourth Amendment, which prohibits unreasonable government search and seizure of private information. NCLA Asks Court to Halt SEC's Unauthorized and Unlawful Mass Data Collection Regime A parent sent us a picture of the high school yearbook for Gainesville High School in Gainesville, Virginia (in Prince William County) and …oh look, this year's yearbook celebrates student activism with photos of students holding anti-Israel protests. Where to find more about WMAL's morning show:  Follow the Show Podcasts on Apple podcasts, Audible and Spotify. Follow WMAL's "O'Connor and Company" on X: @WMALDC, @LarryOConnor,  @Jgunlock,  @patricepinkfile and @heatherhunterdc.  Facebook: WMALDC and Larry O'Connor Instagram: WMALDC Show Website: https://www.wmal.com/oconnor-company/ How to listen live weekdays from 5 to 9 AM: https://www.wmal.com/listenlive/ Episode: Wednesday, May 29, 2024 / 7 AM Hour  O'Connor and Company is proudly presented by Veritas AcademySee omnystudio.com/listener for privacy information.

NCLA launched a Complaint against the SEC challenging the agency's unconstitutional “Consolidated Audit Trail.” The CAT is the largest government-mandated mass collection of personal financial data in American history. Without any statutory authority, SEC is forcing brokers, exchanges, clearing agencies and alternative trading systems to capture and send detailed information on every investor's trades in U.S. markets to a centralized database, which SEC and private regulators can access forever. Mark and Vec are joined by NCLA Senior Litigation Counsel Andrew Morris to discuss this unlawful, unprecedented seizure and mass surveillance scheme.See omnystudio.com/listener for privacy information.

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Engagement, and Michael Solomon, Senior Vice President of Examinations, join us to discuss highlights from the 2024 report.Resources mentioned in this episode:2024 FINRA Annual Regulatory Oversight ReportReg Notice 23-20: Guidance and Resources Related to Regulation Best InterestReg Notice 23-11: Concept Proposal for a Liquidity Risk Management RuleReg Notice 21-35: Proposed Order Routing Disclosure RequirementsSEC FAQ on Form CRSCAT NMS Plan WebsiteEpisode 136: An Introduction to FINRA's Crypto Asset Work and the Crypto HubEpisode 137: The Crucial Role of FINRA's CAI TeamEpisode 138: FINRA's Blockchain LabEpisode 129: A New Twist on New Account Fraud

Join us for Part 2 of our discussion with Mark Hendrickson from D.A. Davidson Companies about where CAT and CAIS reporting stands today, the pain points firms are facing and what they should be doing to manage the current and upcoming reporting requirements. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

FINRA's Consolidated Audit Trail, or CAT, continues to evolve from account-centric trade reporting requirements to now including customer-centric CAIS reporting. Today's podcast guest is Mark Hendrickson, Head of Trading and Streetside Operations at DA Davidson Companies. Mark is also an Industry Advisory Committee Member representing clearing firms on the US Advisory Operating Committee of the Consolidated Audit Trail.  Join us as Oyster CEO Buddy Doyle and Consultants Jeffrey Gearhart and Ralph Magee chat with Mark about ·       the current state of CAT/CAIS reporting,·       industry concerns, ·       what we see coming in 2024 and beyond, and·       how DA Davidson has been proactive and successful in preparing for and executing its CAT requirements. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

When Walmart went public in 1970 and soon thereafter listed on the New York Stock Exchange, its SEC disclosure prospectus was 20 pages long.  Today, a prospectus requires massive numbers of mostly obscure disclosures imposing very real liabilities for the issuing company - but which no one reads, except for lawyers who charge $2,000 an hour to read it and to write it - and which can run upwards to 300 pages or more.  Under President Joe Biden's whole of government effort to weaponize federal agencies, this regulatory creep has become an outright onslaught of new regulations. Except now it brings an overt political agenda to promote ESG and “equity” outcomes. Case in point is the SEC under Chairman Gary Gensler (who was Hillary Clinton Campaign's CFO), which has proposed 55 new rules and massive climate change disclosure requirements without any mandate from Congress. “Over the last two years, we've seen more rules than we've ever seen before,” explains my guest on this episode Chris Iacovella, “the amount of paper, the amount of costs that are being heaped on companies, not just in the financial services space, but in every sector of our economy, are far outweighing whatever good they are supposed to be doing.” Chris Iacovella is in a position to know. He is the President and Chief Executive Officer of the American Securities Association, and has deep expertise in the equity, fixed income, and derivatives markets, as well as growth capital and wealth management. Prior to becoming CEO of the ASA, he was the CEO of the Equity Dealers of America and Director of Global Government Affairs at Bloomberg LP.  “Gensler claims that he has to do this because investors are clamoring for this disclosure, but it's not investors that are clamoring for it. It's Wall Street asset managers, investment banks, and institutional investors who are pushing an ESG political agenda into the boardroom that they can't get through Congress.” This is just one of the many concerning issues we get into in this episode. Some others: The higher fees Wall Street charges for its ESG funds. Klaus Schwab (of the World Economic Forum) and his “stakeholder” capitalism and how Wall Street has adopted many of his views.  Public company security regulations seeping into private businesses. A long segment about how the Chinese have used the US capital markets to access to American capital and allowing them to fund their military and economic rise with our money. Something obscurely called the Consolidated Audit Trail where the SEC has decided to add to its surveillance capabilities, the ability to collect all of the personal and financial information of every investor who has a share of stock in our capital markets.  “Can you imagine if the SEC entered into a memorandum of understanding with the IRS? Then the government would have a true and complete picture of not only your securities holdings, but also any businesses that you might own that are private, any real estate that you may own. It's would be complete picture of what your wealth is.” There's a lot to unpack in this episode, but I think you'll find it worth your time.

Consolidated Audit Trail reporting has reached a new regulatory stage, with upcoming Customer and Account Information System (CAIS) reporting requirements and interim obligations. Deadlines for achieving compliance with the requirements is December 12, 2022, only three months away.    In today's podcast, Oyster Consulting's experts share what the CAIS reporting requirements are, issues we are seeing from our own clients as they go down this path, and what firms should be doing to meet the deadlines successfully.  

Compliance for Phase 2e of CAT reporting will be effective July 11th, 2022.  This is a complicated linkage event and there are things firms should be doing to prepare.  In today's podcast, Oyster CEO, Buddy Doyle, and Oyster's CAT expert Ralph Magee talk about the challenges our clients are seeing and things firms should be doing to be ready for this next phase. 

FINRA's Consolidated Audit Trail reporting requirements  are steadily moving forward. Oyster experts provide an overview, discuss FINRA's CAT priorities, sweeps and pitfalls firms should avoid. 

Each year, FINRA releases its Report on FINRA's Examination and Risk Monitoring Program, previously known as FINRA's Exam Priorities.  In this podcast, Oyster experts Jeff Gearhart, Evan Rosser, Ralph McGee, and Frank Childress share their insights and thoughts on what firms should be doing around the Market Integrity portions of the report. This includes Consolidated Audit Trail (or CAT), Market Access, Best Execution, and Order Routing and Execution. 

FINRA's Market Regulation and Transparency Services department sits at the center of the U.S. securities markets, conducting ongoing oversight within and across markets and providing transparency to help investors make informed decisions. On this episode, we meet Stephanie Dumont, the new head of FINRA's Market Regulation and Transparency Services department. Stephanie shares her priorities, her vision for the department, and how FINRA is responding to recent market events. Resources mentioned in this episode:Market Transparency Reporting ToolsTRACE Treasury Aggregate Statistics

Market participants consider FINRA TBA/CAT margin proposal. FINRA sets effective date for complete replacement of OATS by Consolidated Audit Trail.

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined by Ellen Greene, SIFMA managing director, equity and options market structure and Joe Corcoran, managing director and associate general counsel to talk about the current state of the Consolidated Audit Trail, or CAT.

The Consolidated Audit trail (CAT) is moving forward and the SEC has released new exemptive relief dates for parts 2a (Equity reporting) and 2b (Options reporting). The SEC has also provided exemptive relief for introducing brokers. In this episode, Oyster Consultants Ralph Magee and Jeff Call discuss what firms should be doing around certifications, linkages, testing validation and the upcoming options reporting deadlines. Oyster also has a new software application to validate firms' CAT reporting. Learn more about that in this episode, or by clicking here.

Market volatility in recent weeks has surpassed anything else in history in terms of both the extremity and duration. Despite that, the so-called plumbing of U.S. financial markets has held up remarkably well—even with most market participants working from home. On this episode, we talk to FINRA’s Executive Vice President of Market Regulation and Transparency Services Tom Gira, who walks us through the evolution of our market structure that has contributed to this resilience and how FINRA and others are handling the increased volumes. Resources mentioned in this episode:COVID-19 Resource PageCOVID-19 FAQsEpisode 13: How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

In this episode, Oyster Consultant Ralph Magee and Devyze CEO Jeff Call discuss what the Consolidated Audit Trail (CAT) is and its purpose, what is happening in the industry from a reporting standpoint, where we are with the CAT today and what firms should be doing. Oyster can help you assess how your firm is positioned for CAT readiness, manage your requirements assessment and implementation phases, interface with your own technology providers, and assist you in determining what and how your technology providers will report for you. We can also assist in testing data scenarios and data linkage, as well as creating an error repair process. Firms can also leverage Oyster testing tools to gather and analyze reported data and errors.

Under the Consolidated Audit Trail, or CAT, broker-dealers will be required to report every equity and options transaction, as well as certain personal information of retail and institutional clients, to a database operated by 24 SROs. SIFMA and its members are supportive of the CAT and its regulatory intent – however, we have repeatedly expressed strong concerns regarding the risks to customer information. Data security must be a paramount concern with a database this large. In this podcast, SIFMA president and CEO, Kenneth E. Bentsen, Jr. is joined by SIFMA’s Ellen Greene to discuss the risks posed by the CAT, who bears the liability in the event of a data breach and why reasonable access limits are needed now. For more information, visit www.sifma.org/consolidated-audit-trail

Martin Boyd, global head of FIS’s institutional and wholesale business unit, which represents the legacy SunGard suite of services, joins to discuss everything from fintechs to regulation to machine learning to cloud. Before that, though, Anthony and James provide their takeaway after writing extensively about the Consolidated Audit Trail (CAT).   CAT 2:15-18:00 Anthony and James look at the train wreck that is the Consolidated Audit Trail.  https://www.waterstechnology.com/regulation/4152906/cats-tale-how-thesys-the-sros-and-the-sec-mishandled-the-consolidated-audit-trail https://www.waterstechnology.com/regulation/4166596/cats-future-still-cloudy-as-nms-committee-declines-to-name-new-processor Martin Boyd 21:00 Martin Boyd joins the podcast and first looks at the state of the fintech community. 25:30 How does FIS try to interact with that fintech community? 29:30 Where are there still opportunities for fintechs to make an impact? 32:00 A look at how artificial intelligence comes into play.  34:30 How does the regulatory environment drive tech spend? 39:30 Cloud is becoming much more important. 42:00 Where will innovation come from in the next few years?

Phil Christianson, director of product management at Eze Software, joins the podcast to discuss ways in which firms of all types and sizes can improve their use of the Agile methodology (12:15-29:00). But before that, Anthony and James first look at House Bill 4785 and explain why it could be a problem for the construction of the Consolidated Audit Trail (2:00-10:00) and James gives his bold prediction for England’s football team as it heads in to the quarter finals against Sweden on Saturday (10:00-12:15).

This week on the podcast, Anthony and James look at the October conference scene, with recaps of Sibos in Toronto, Risk USA in New York, and Sifma in Washington DC. They wrap things up by looking at the World Series and the Yankees’ shocking decision to not re-sign Joe Girardi as manager. 2:00 James talks about Sibos and how the disruptors (fintechs) have been disrupted (by the banks). 4:15 James then gives his opinion as to whether or not it’s worthwhile to attend Sibos. (Sydney 2018!) 6:00 On to Risk USA, where—lo and behold—risk managers are learning about the importance of technology and data! They also talk about how banks all of a sudden DO want to be tech companies! (My, how things change.) 10:00 An interesting story from Risk USA: Vendors may have over-promised and under-delivered on their ability to provide accurate information for the fixed-income market, risk officers say, ahead of a looming go-live date in December 2018. 18:00 Down in DC, SEC chairman Jay Clayton heard from industry participants on the need to delay the Consolidated Audit Trail’s implementation. 22:00 Finally, they wrap things up by looking at the Houston Astros’ mighty run to the World Series and the New York Yankees’ shocking decision that that Joe Girardi will not be coming back as manager. https://www.waterstechnology.com/industry-issues-initiatives/3439211/sibos-2017-disrupting-the-disruptors https://www.waterstechnology.com/industry-issues-initiatives/3439391/vendors-accused-of-over-promising-on-liquidity-rule https://www.waterstechnology.com/industry-issues-initiatives/3438216/industry-adds-voice-to-calls-for-cat-delay https://www.waterstechnology.com/industry-issues-initiatives/3438626/london-stock-exchange-releases-accelerator-tool-for-cat

This podcast is dedicated to co-host Dan DeFrancesco, who, starting Monday, will move over to Waters’ sibling publication, Risk, where he’ll write about the commodities sector. To start, Dan discusses his new remit and Anthony talks about how the podcast will progress going forward (0:40). Dan then touches on his three favorite stories, which we’ve put in front of the paywall for all to read, including his feature on the Consolidated Audit Trail (9:00), the struggle to find talent (12:30) and two cover stories (16:30) that particularly stand out for him. While we will miss Dan, the Podcast will continue uninterrupted. Tune in next week to hear IBM’s Marc Andrews talk about how the company is using Watson to improve surveillance and compliance needs.

Dan and Anthony open things up discussing the podcast’s one-year anniversary (:30). They then get into Thesys being selected to build the Consolidated Audit Trail (1:20). Dan talks about seeing CFTC chairman Timothy Massad and CFTC commissioner Christopher Giancarlo both making keynote addresses at Sefcon VII (10:15). Anthony then examines his natural language processing feature (13:45). The guys wrap things up talking about Jeff Bagwell’s election into the Baseball Hall of Fame (21:45) and the NFL playoffs (28:50).

Dan and Anthony discuss fintechs, regtechs and whether there is a difference between the two or if it’s simply a marketing ploy (1:05). They then talk about UK day trader Navinder Singh Sarao pleading guilty to spoofing and whether the case was overblown (15:40). Dan then explains how the Consolidated Audit Trail, which gained regulatory approval this week, could alleviate some of these issues, despite having its own problems (22:10). The guys wrap things up talking about the NFL (26:05).

Dan and Anthony open things up looking at brokerage Eclipse International's decision to remove trading turrets in favor of Cloud9's platform (1:00). The conversation then turns to Sifma's recently submitted comment letter about the Consolidated Audit Trail (8:55). The guys then chat about the Republican National Convention (16:50) and break some news about the future of the podcast (26:03).

Dan and Anthony open things up discussing the June features. They start things off talking about Dan’s story on the Consolidated Audit Trail (2:25). They briefly touch on Anthony’s profile of Garrett Asset Management’s Elliot Noma (12:00) before diving into European staff writer Aggelos Andreou’s feature looking at unbundling research in Europe (15:15). The guys also talk about the NBA and NHL playoffs (20:54), including Dan’s plan to save the NHL, and wrap things up with a heated debate on the Gawker-Peter Thiel battle (28:15).

Dan starts the show off by himself talking about the SEC’s decision to publish the CAT NMS plan for public comment (:53) and what that means for the overall timeline of the massive database. He then briefly touches on a story idea he has around user experience (10:10) before calling Anthony (11:04), who is on vacation. The two chat about what Anthony's missed while away from the office (13:40) and his thoughts on Tom Brady’s four-game suspension being overturned on appeal (20:00). Dan then wraps things up talking about the absurdity of the NFL Draft (25:47) and why HBO’s “Silicon Valley” is so awesome (29:50).

Trading Tech Talk 24: HFT Spies and UX Crimes Hot Topics in Tech: Could Russia use high-frequency trading to crash the markets? NYSE rolls out auctions, and upgrades its technology guts. CFTC commissioner attacks swaps regulation and proposes alternative agenda. Watchdogs home in on financial technology. Casualties mount in high-speed trading arms race. Brokers, synchronize your watches - Regulators want the industry to improve their server-clock synchronizations so they can build the Consolidated Audit Trail.       The Inbox: Listener questions and comments   Question from Cortez - I like the discussion about Fintech UX on the last show. What would you say is the greatest UX crime committed by Fintech companies? Question from Orgo Tea - At what point does the number of listed options exchanges simply become too much of a burden for customers and clients to endure? Reply from Mark Brandt (in reply to “Please explain how options block trades are executed and how to transition to block trading from retail work. Thx!”) - Thanks for the great answer about block trading, but by "work" I meant my efforts to get block trades, not a job!

Hot Topics in Tech: Could Russia use high-frequency trading to crash the markets? NYSE rolls out auctions, and upgrades its technology guts. CFTC commissioner attacks swaps regulation and proposes alternative agenda. Watchdogs home in on financial technology. Casualties mount in high-speed trading arms race. Brokers, synchronize your watches - Regulators want the industry to improve their server-clock synchronizations so they can build the Consolidated Audit Trail.; The Inbox: Listener questions and comments Question from Cortez - I like the discussion about Fintech UX on the last show. What would you say is the greatest UX crime committed by Fintech companies? Question from Orgo Tea - At what point does the number of listed options exchanges simply become too much of a burden for customers and clients to endure? Reply from Mark Brandt (in reply to "Please explain how options block trades are executed and how to transition to block trading from retail work. Thx!") - Thanks for the great answer about block trading, but by "work" I meant my efforts to get block trades, not a job!