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Compliance
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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...
Sell-Side Technology | News | Compliance | 14 May 2013
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.
Buy-Side Technology | News | Compliance | 13 May 2013
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.
Sell-Side Technology | News | Compliance | 02 May 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.
Buy-Side Technology | News | Compliance | 29 Apr 2013
The Compliance Management and Reporting System (CMRS) from Sapient Global Markets can now facilitate portfolio reconciliation.
Buy-Side Technology | News | Portfolio Management | 24 Apr 2013
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.
Buy-Side Technology | News | Compliance | 24 Apr 2013
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.
Buy-Side Technology | News | Compliance | 18 Apr 2013
SIFMA calls on SEC to reject 25 percent Tape C price increase, claims UTP did not follow mandated procedures before raising fees.
Inside Market Data | News | Industry Issues & Initiatives | 17 Apr 2013
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.
Sell-Side Technology | News | Compliance | 15 Apr 2013
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...
Waters | Feature | Compliance | 10 Apr 2013
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