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Regulation & Standards

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Regulatory Complexity Presents Challenges for Tech-Bereft Legal Staff

If anyone was in doubt as to the sheer volume of regulation produced by the financial crisis, printing and stacking every consultation paper, draft standard...

Sell-Side Technology | Analysis | Regulation & Standards | 21 Nov 2014


Uneven Regulatory Approach Encourages Return to Silo Model

While banks have been implementing centralized, global infrastructure models for years, uncoordinated and varying regulation is forcing a return to silos and regional thinking. This also has the potential to impact the widespread roll-out of cloud services,...

Sell-Side Technology | Analysis | Infrastructure Technologies | 21 Nov 2014


Aequitas Ready to Launch Neo Exchange Next Year

Aequitas has received regulatory approval from the Ontario Securities Commission (OSC) to launch Aequitas Neo Exchange in the first half of 2015.

Sell-Side Technology | News | Exchange Technologies | 20 Nov 2014


ANNA Enhances ISIN Records

The legal entity identifier and other ISO codes will add information to the ISINs it issues, including type of instrument, issuers, currency and managers

Inside Reference Data | News | Regulation & Standards | 20 Nov 2014


Silverfinch, Fundsquare Partner On Solvency II

The European companies are pushing a look-through data utility intended to address compliance with the capital adequacy reporting regulation

Inside Reference Data | News | Regulation & Standards | 19 Nov 2014


SEC Votes to Strengthen Systems Compliance and Integrity

The Securities and Exchange Commission (SEC) adopted a new set of rules that were created to strengthen the technology infrastructure of the US securities markets by handing down requirements on industry members' reactions to system failures.

Sell-Side Technology | News | Compliance | 19 Nov 2014

usa flag

Deutsche Bank Brings AxiomSL's Regulatory Platform to the US

Deutsche Bank announced that it is expanding its use of AxiomSL's regulatory reporting platform and capital calculations tool in the United States after deploying the solutions in the Asia-Pacific region.

Sell-Side Technology | News | Compliance | 17 Nov 2014


IRD's Editor on European Regulatory Trends

Europe can expect widespread transformation of data operations over the next few years as a result of current and future regulatory actions, including AIFMD, Target2-Securities and EIOPA's work with the legal entity identifier.

Inside Reference Data | Opinion | Regulation & Standards | 17 Nov 2014 | video


FINRA, MSRB Push for Bond Reference Price Disclosure

Industry rulemaking bodies FINRA and the Municipal Securities Rulemaking Board are seeking comments from the industry on proposals to make bond dealers disclose same-day trade prices in the same security on trade confirmations sent to clients for retail-sized...

Inside Market Data | News | Pricing & Valuations | 17 Nov 2014

Canary Wharf from across the Thames

Major Banks Fined Billions for FX Market Abuse

Regulators in Europe and the US condemned a "free-for-all culture" on foreign exchange (FX) trading desks today, as they levied penalties on investment banks that amount to billions of dollars in fines for market abuse.

Sell-Side Technology | News | Regulation & Standards | 12 Nov 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...


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....