Regulation & Compliance
WatersTechnology is a multi-channel business intelligence platform with daily analysis and news to enable businesses to deliver better strategies with more efficiency than before.
Click here to view our subscription packages and unlock WatersTechnology premium business content.
It's been roughly one year since the Foreign Account Tax Compliance Act (Fatca) began requiring foreign banks to collect and report information on US persons.
US Securities and Exchange Commission (SEC) commissioner Luis Aguilar said the Commission needs to broaden the reach of Regulation Systems Compliance and Integrity (Reg SCI) while speaking at the Security Innovation Network (Sinet) Innovation Summit in...
Firms must be aware of exactly what their market data licenses allow if they are to remain compliant with data license agreements, and must also fully understand their data requirements and storage responsibilities, which may require some firms to outsource...
The Securities and Exchange Commission has rolled out a new version of its Edgar Renderer──the tool that enables investors to view SEC filings in XBRL (eXtensible Business Reportign Language) format──that officials say will be faster and easier...
A bevy of new products are now in focus as Finra's latest examination priorities once again highlight suitability. This especially goes for a number of alternative and traditionally institutional-grade products that are now being packaged for retail investors,...
John Abel of the DTCC gives his thoughts on the release of T+2 ISC's white paper and the proposed timeline.
On June 18, Inside Reference Data hosted a webcast on the impact of EMIR reporting rules and US CFTC guidelines on OTC derivatives data management
The T+2 Industry Steering Committee (T+2 ISC) released a white paper detailing a timeline for how the US securities industry could move to a two-day settlement cycle (T+2) by the end of Q3 2017.
Updating your subscription status
Work with us on your Integrated Marketing Campaigns
WatersTechnology offers a full range of custom research, surveys, webcasts, video and whitepapers for firms looking to demonstrate thought-leadership through their marketing campaigns and generate sales leads.
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...