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Compliance

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Managing Compliance from a Single Platform

Northern Trust says it has improved post-trade OTC reporting for clients since deploying Sapient's Compliance Management Reporting System

Inside Reference Data | Analysis | Compliance | 01 Oct 2014

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Guggenheim's Joseph Lodato Pulls Tech, Compliance Together

Anthony Malakian sits down with Joseph Lodato, chief compliance officer at Guggenheim Securities, to discuss the need for compliance and technology to work together in the current regulatory environment. Photos by Timothy Fadek

Waters | Feature | People | 29 Sep 2014

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CME Clearing Europe Selects globeSettle

The Chicago Mercantile Exchange (CME) Group has chosen globeSettle as a collateral location venue for its central counterparty (CCP), CME Clearing Europe.

Sell-Side Technology | News | Clearing & Settlement | 29 Sep 2014

wilson-leech

Northern Trust Appoints Deustche Bank, Euroclear Ahead of T2S Implementation

Northern Trust has selected Deutsche Bank and Euroclear to support its strategy ahead of the implementation of Target2-Securities, or T2S, the centralized securities settlement system aiming at harmonizing settlement infrastructure across Europe.

Buy-Side Technology | News | Compliance | 25 Sep 2014

ed-gouldstone

Updated Version of Linedata Global Hedge Released

Linedata announced an upgrade to its technology platform for hedge fund managers, Linedata Global Hedge.

Buy-Side Technology | News | Compliance | 24 Sep 2014

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FX Manipulation Targeted with b-next Release

Surveillance vendor b-next has announced the release of a tool for its Capital Market Compliance (CMC) offering, aimed at detected suspicious trading activity around the foreign exchange (FX) fix.

Sell-Side Technology | News | Compliance | 22 Sep 2014

A view of the City of London

BATS Makes Early Move on ETF Reporting

BATS Chi-X Europe has announced the impending launch of a centralized reporting service for exchange-traded funds (ETF), set for October 1.

Sell-Side Technology | News | Compliance | 22 Sep 2014

madrid-bad-banks-waters0714

BME's CCP Gains EMIR Authorization

The ComisiĆ³n Nacional del Mercado de Valores (CMNV) has given authorization to BME Clearing, in line with obligations from the European Market Infrastructure Regulation (EMIR).

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

alexey-utkin-dataart

DataArt Updates Front-End App for Automated AIFMD Filing

Software vendor DataArt has updated its front-end applications for global fund managers for compliance with the latest requirements introduced by Europe's Alternative Investment Fund Managers Directive (AIFMD).

Buy-Side Technology | News | Compliance | 16 Sep 2014

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Asic Grants First Depository License to DTCC

The Australian Securities and Investments Commission (Asic) has granted an Australian derivative trade repository license to the Depository Trust and Clearing Corporation's (DTCC) Singaporean facility.

Sell-Side Technology | News | Compliance | 15 Sep 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...

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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....