Regulation & Compliance
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The Financial Industry Regulatory Authority (Finra) has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations spanning a period of more than eight years, failure to accurately submit...
Regulation has been a consistent driver of change within the capital markets for the best part of a decade; however many investment banks are struggling to adapt to a regulatory landscape that continues to change so much that some are now calling it “the...
The New York State Department of Financial Services is investigating Palo Alto-based secure messaging platform Symphony, ahead of its planned launch on Aug. 3, amid concerns that the platform does not comply with regulations around archiving chat messages.
EMIR and CFTC rules and guidelines affecting OTC derivatives data reporting are also yielding higher data quality and better management of the derivatives process
At a recent event held at The Metropolitan Club in Manhattan, industry experts discussed a range of topics, from modeling validation to analytics to risk technologies.
Eliminating spreadsheets is not the answer to passing BCBS 239 and CCAR annual risk data stress tests. A broader data control environment could be. Plus, a thought about the dissolution of CounterpartyLink
Covered fund parameters are not the trickiest piece of the Volcker Rule, but as some of the guidelines begin to come into force for certain asset-backed securities, global banks are still seeking distributed decision support around the problem. Tim Bourgaize...
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The catalyst for change in client reporting is a more empowered, digitally aware consumer. Excellence of service delivery will be key to investment managers...
Without a consistent source of data and limited functionalities in existing systems, firms are unable to perform tasks that are becoming increasingly important...