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Regulation & Standards
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Yesterday’s vote on final rules governing the operation of swap execution facilities (SEFs) by the US Commodity Futures Trading Commission (CFTC) was...
Sell-Side Technology | Analysis | Regulation & Standards | 17 May 2013
Other regulatory issues, risk management and data governance will also find the spotlight, alongside the legal entity identifier, in this year's NAFIS conference on May 21
Inside Reference Data | Opinion | Data Management | 17 May 2013
The US Commodity Futures Trading Commission (CFTC) passed a series of final rules yesterday, designed to govern how swap execution facilities (SEFs) will operate, and how instruments will trade through them.
Sell-Side Technology | Analysis | Regulation & Standards | 17 May 2013
ConvergEx Prime Services, the company's prime brokerage unit, has released Tax Optimizer, which will allow users to better understand their tax liabilities.
Sell-Side Technology | News | Accounting | 16 May 2013
The Financial Conduct Authority (FCA), a UK regulator formed in April, has gone live with Nasdaq OMX's Smarts Integrity market surveillance platform to enhance its monitoring of transaction reports across the UK's financial markets.
Sell-Side Technology | News | Compliance | 14 May 2013
Northern Trust Hedge Fund Services, the fund administrating arm of the Chicago-based bank, has released a new online module that will allow clients to draft, review and finalize their Form PF submissions.
Buy-Side Technology | News | Compliance | 13 May 2013
Data managers should be prepared for "Balkanized" fragmentation in data management, due to nation-centric rulemaking, should globalized and harmonized rules efforts fail.
Inside Reference Data | Opinion | Data Management | 13 May 2013
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The US Commodity Futures Trading Commission (CFTC) has set a date of May 16 for a public meeting, over key elements of rules that govern how swap execution facilities (SEFs) will work.
Sell-Side Technology | Opinion | Regulation & Standards | 13 May 2013
Data managers should consider whether all regulatory politics will be local—or global—and be prepared for either possibility
Inside Reference Data | Opinion | Regulation & Standards | 13 May 2013
The founder of the price surveillance, monitoring and OTC verification services vendor says a redistribution agreement it has signed with SIX could be broadened to include reference data, including corporate actions data. Triangle Park currently distributes...
Inside Reference Data | News | Regulation & Standards | 10 May 2013
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Complex, dated and unwieldy data infrastructure is not uncommon among even the most progressive companies in the world of finance. As financial regulations...
With the launch of a new legal entity identifier (LEI) looming, the financial services industry needs to get ready to ensure efficient and timely implementation...
