FINRA’s 2015 priorities, while often overlapping with those on the SEC OICE’s list, cover an expansive list of topics firms should be sure to review. Ziliak Law Partner Michelle M. Comella and Associate Diona Rogers provide insight.
This is the first of a series on financial regulators’ 2015 examination priorities. The SEC’s priorities focus on three broad topics: 1) protecting retail investors and, in particular, investors saving for retirement; 2) assessing market-wide risks; and 3) identifying and examining potential illegal activity through the use of data analytics. Ziliak Law Partner Michelle M. Comella and Associate Diona Rogers … Read More
Managing Partner Zach Ziliak, with Brattle Group’s Pavitra Kumar and Torben Voetmann, show why high-frequency trading litigation presents complex issues for experts.
Managing Partner Zach Ziliak has seen both sides of the HFT universe. A As a quant at an investment bank, he developed trading algorithms. As an attorney, he represents firms covering the whole Investment spectrum. As a participant in the AT 9000 initiative, he is working on the development of quality management standards for the testing of high frequency and … Read More
Ziliak Law Partner Zach Ziliak wrote a “featured commentary” for MarketsReformWiki in October, 2012. Roundtable Recap: SEC’s Technology Panels, October 2, 2012 On Tuesday October 2, 2012, technologists from automated trading companies told the Securities and Exchange Commissionthat the industry would benefit internally from enhanced quality control and externally from the adoption of safeguards like “kill switches.” [Read more…]
Managing Partner Zach Ziliak’s summary of, and commentary on, the SEC Market Technology Roundtable, October 2, 2012.