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The Financial Conduct Authority (FCA), a UK regulator formed in April, has gone live with Nasdaq OMX's Smarts Integrity market surveillance platform to...
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.
ConvergEx Group has announced that its LiquidPoint options trading software will be fully compliant with Electronic Blue Sheet (EBS) requirements in the US, once they come into force on November 1, 2013.
The regulation, going into effect on May 1st, requires firms to display mid-point prices for foreign exchange (FX) pre-spot, forward outrights, non-deliverable forwards, and swap trades.
The Compliance Management and Reporting System (CMRS) from Sapient Global Markets can now facilitate portfolio reconciliation.
Advise Technologies, a compliance software provider, will offer a CPO-PQR e-filing platform to the National Futures Association (NFA) EasyFile portal. This will be the first time that filing electronically is possible for Form CPO-PQR.
Panelists at TradeTech Europe, organized by WBR, suggested that multiple levels of trade surveillance were superior than an overall single pair of eyes, when dealing with market abuse.
Post-trade vendor Traiana has announced the successful launch of Harmony TR, its swap data repository (SDR) service, which aids with compliance for regulations regarding the reporting of over-the-counter (OTC) derivatives trade data.
Although the benefits and drawbacks of high-frequency and algorithmic trading have been debated endlessly, the ability to perform competent and reliable surveillance on these operations is an area often relegated to the back rooms of conferences. James...
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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...