Regulation & Standards
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Panelists at the Buy-Side Technology European Summit 2013 in London debated growing levels of transparency and reporting required by regulatory agencies...
SunGard has announced the integration of its various Protegent market surveillance products into a single platform, to provide a consolidated view for compliance officers across a firm.
Yesterday’s vote on final rules governing the operation of swap execution facilities (SEFs) by the US Commodity Futures Trading Commission (CFTC) was well-received by a cross section of the industry, but some disagree with elements of the provisions....
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.
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.
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.
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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...