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Regulation & Standards

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TeraExchange Signs NFA for SEF Regulatory Services

The National Futures Association (NFA) has announced that TeraExchange has signed a pre-launch regulatory services agreement (RSA) with the industry body...

Sell-Side Technology | Analysis | Regulation & Standards | 18 Jun 2013

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Marking Time on Mifid II

Europe, surprisingly, seems to agree on something.

Sell-Side Technology | Opinion | Regulation & Standards | 18 Jun 2013

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Etrali Expands Mobile Recording Offering for Dodd-Frank Compliance

Etrali Trading Solutions, the Paris-based provider of voice and electronic trading infrastructure, has extended its mobile recording solution in the US today, to help firms meet Dodd-Frank compliance requirements.

Sell-Side Technology | News | Compliance | 17 Jun 2013

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BankersAccuity Adds Russian PEPs to WorldCompliance

The new database of politically-exposed persons (PEPs) reflects recent tightening of rules requiring know-your-customer (KYC) monitoring both in Russia and internationally.

Sell-Side Technology | News | Compliance | 17 Jun 2013

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Solvency II special report

June 2013 - sponsored by: Axiom SL, Morningstar, SIX Financial Information, Thomson Reuters

Inside Reference Data | Special | Regulation & Standards | 17 Jun 2013

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Consortium Launches Pre-LEI Data Source

GS1, FIX Protocol Ltd., Tahoe Blue and the Corporation for National Research Initiatives have launched P-lei.org, a project to distribute data for legal entity identifiers issued by pre-local operating units.

Inside Reference Data | News | Regulation & Standards | 13 Jun 2013

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DataArt Partners with 10gen for Data Aggregation, Opera Reporting

Software provider DataArt is teaming up with 10gen, which develops the MongoDB NoSQL open-source database, to tackle challenges related to big data and the aggregation of data. The first result of this pairing is a reporting solution for the proposed...

Buy-Side Technology | News | Regulation & Standards | 13 Jun 2013

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Tradeweb Plants its Flag With First Pre-Trade OTC Credit Check

Late last week, Tradeweb Markets supported the first electronic indicative pre-trade credit check between a buy-side client and a futures commission merchant (FCM) for an over-the-counter derivatives transaction. Using the electronic credit checking solution...

Buy-Side Technology | News | Compliance | 12 Jun 2013

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CFTC Sets Out Conditions For Mutual Acceptance of Pre-LEIs

The US regulator has set out the conditions under which it will accept WM Datenservice's general entity identifier and other pre-legal entity identifiers as part of its swaps trade reporting requirements

Inside Reference Data | News | Regulation & Standards | 11 Jun 2013

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EDM Council Readies FIBO Specs, Works With Bank of England and Microsoft

The EDM Council and the Object Management Group are preparing to issue specifications for their ontology, which is being aligned with Bank of England templates. The EDM Council has also piloted its data maturity model with Microsoft

Inside Reference Data | News | Regulation & Standards | 11 Jun 2013

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Key challenges in data architecture

Complex, dated and unwieldy data infrastructure is not uncommon among even the most progressive companies in the world of finance. As financial regulations...

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Key challenges in legal entity identification

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...