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Regulation & Standards

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Lombard Risk Looks to Leckie

London-based Lombard Risk Management, a provider of regulatory compliance, reporting, and collateral management technology to the capital markets, has...

Sell-Side Technology | News | Risk Management | 31 Jul 2014

zurich-web

GLEIF Sets Fees For LEI Licensing

The foundation, which is responsible for legal entity identifier infrastructure and principles, is relying on the licensing fees to fund the central operating unit administering LEIs

Inside Reference Data | News | Regulation & Standards | 30 Jul 2014

manhattan-04

Red Box Lands Tradition Deal

Red Box Recorders has announced a global contract with with inter-dealer broker Tradition, under which the firm will record over 8,000 channels of communication for the firm in the UK and Americas.

Sell-Side Technology | News | Compliance | 30 Jul 2014

A view of the City of London

Confisio, Dion and Traiana Debut Collateral Valuation Service

Ahead of impending regulatory mandates, Confisio Managed Services, Dion Global Solutions, and Traiana have announced the launch of a collateral valuation reporting service.

Sell-Side Technology | News | Compliance | 30 Jul 2014

manhattan-02

Nasdaq Ships Surveillance Tech for trueEx

Nasdaq OMX's Smarts surveillance platform will oversee both the swap execution facility (Sef) and designated contract market (DCM) operated by trueEX, the exchange group has announced.

Sell-Side Technology | News | Regulation & Standards | 29 Jul 2014

cftc-0613-app

CFTC Extends DTCC-Swift's LEI Designation

The US Commodity Futures Trading Commission (CFTC) has extended the designation of the Depository Trust and Clearing Corporation-Swift (DTCC-Swift) as the provider of Legal Entity Identifiers (LEIs).

Sell-Side Technology | News | Regulation & Standards | 29 Jul 2014

Societe Generale building

Société Générale PB Taps Wolters Kluwer for Basel III Compliance

Société Générale Private Banking has selected the risk management and regulatory reporting solutions from Wolters Kluwer Financial Services to comply with Basel III requirements in Belgium.

Buy-Side Technology | News | Compliance | 28 Jul 2014

phil-christianson-eze-software

Eze Adds AIFMD Functionality to Reporting Product

Eze Software is helping funds manage reporting requirements of the EU directive, which include submitting information about regional, counterparty and asset class exposures

Inside Reference Data | News | Regulation & Standards | 25 Jul 2014

phil-christianson-eze-software

Eze Software Adds AIFMD Reporting Component to Regulatory Filings Manager

Eze Software Group can now support Alternative Investment Fund Managers Directive (AIFMD) filings through its Regulatory Filings Manager offering.

Buy-Side Technology | News | Regulation & Standards | 23 Jul 2014

Canary Wharf

UK SFO Launches Criminal Probe into FX Market

The UK Serious Fraud Office (SFO), has announced that it is opening a criminal investigation into purported fraud in the foreign-exchange (FX) market.

Sell-Side Technology | News | Regulation & Standards | 23 Jul 2014

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Tackling Teething Troubles: Examining the Current State of the OTC Derivatives Market

The over-the-counter (OTC) derivatives market is in the midst of a global regulatory restructure. Authorities in Europe, Asia and the US are currently...

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A data-centric approach to portfolio management

A fast, flexible and reliable investment decision-making process must be based on access to accurate and consistent information throughout an organization....