KEYWORDS: Survey, regulatory requirements, compliance cost, FIA, hedge funds, banks, broker-dealer, exchange, financial institutions, SEF, OTC derivatives, swaps, swap execution facility
IPC
IPC
A new IPC survey finds that the industry remains underprepared to meet the requirements of new regulations, while individual firms push ahead to make themselves ready.
The survey was conducted during FIA Chicago, from November 5-7, 2013, and generated responses from hedge funds, investment banks, broker/dealers, exchanges and other financial institutions.
Key findings address: