Regulation & Standards
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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
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...
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...
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...
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....
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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...