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Regulation & Standards

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A Look at this Year's BST European Summit

Across the pond in London this week, Incisive Media held its annual Buy-Side Technology European Summit. Anthony looks at the coverage.

Buy-Side Technology | Opinion | Events | 24 May 2013

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It's Not Easy Being Extraterritorial

The concept of extraterritoriality, the differences between national interpretations or iterations of rules and standards, requires firms to redefine it as being the ability to comply in all territories

Inside Reference Data | Opinion | Regulation & Standards | 24 May 2013

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HSBC CDO: "Reporting Regs Emphasize Need To Manage Data Throughout Lifecycle"

HSBC's Peter Serenita told delegates at the North American Financial Information Summit that firms need processes for managing data throughout the trade lifecycle in order to comply with the US Commodity Futures Trading Commission's new reporting requirements...

Inside Reference Data | News | Regulation & Standards | 24 May 2013

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UBS Exec Outlines Fatca Strategy

The bank's global head of client data policy and quality assurance told delegates at this week's North American Financial Information Summit that clearly defined data definitions and roles and responsibilities for data users are at the heart of its strategy...

Inside Reference Data | News | Regulation & Standards | 23 May 2013

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Data Centralization Key to Effective Compliance, CTOs Argue

Panelists at the Buy-Side Technology European Summit 2013 in London debated growing levels of transparency and reporting required by regulatory agencies and clients, saying that in order to stay compliant, a thorough data strategy was essential to any...

Buy-Side Technology | News | Compliance | 21 May 2013

New York

NAFIS 2013 Live: Richard Peach Keynote

IRD editor Michael Shashoua tweets live from keynote presentation by the senior vice president of the Federal Reserve Bank of New York

Inside Reference Data | Official Record | Data Management | 20 May 2013

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SunGard Consolidates Protegent into Single Platform

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.

Sell-Side Technology | News | Compliance | 20 May 2013

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Much Ado about RFQ

The reduction in the so-called RFQ 5 rule was seen as a shallow victory for the industry during the final rulemaking for swap execution facilities (SEFs) last week, but how much of an issue will it prove to be?

Sell-Side Technology | Opinion | Regulation & Standards | 20 May 2013

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CFTC SEF Rules Garner Mixed Reactions as Tech Picture Gets Clearer

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....

Sell-Side Technology | Analysis | Regulation & Standards | 17 May 2013

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NAFIS Preview

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

Voting now open -- WATERS RANKINGS 2013

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