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Compliance

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CounterpartyLink Chooses Datactics For Data Matching

The data quality and matching software provider Datactics will supply its FlowDesigner matching and research product to the legal entity data source

Inside Reference Data | News | Compliance | 08 Oct 2014

israel

Nice, Truphone Partner for Call Recording Solution

Tel Aviv-based Nice Systems and Truphone have announced a partnership to provide a solution that complies with mobile record-keeping regulations.

Sell-Side Technology | News | Compliance | 07 Oct 2014

bst-na-keynote-bob-ganim-ciso-at-neuberger-berman

Neuberger Berman's Ganim: CISOs Have Their Work Cut Out

Bob Ganim, chief information security officer (CISO) at Neuberger Berman, a $250 billion New York-based asset manager, delivered the keynote address at this year's Buy-Side Technology North American Summit, held today at the Marriott Marquis in Times...

Buy-Side Technology | News | Industry Issues & Initiatives | 07 Oct 2014

geneva

Pictet Extends Wolters Kluwer Usage

Swiss wealth management firm Pictet has selected Wolters Kluwer's Financial Risk Management product for use at its head offices in Geneva, allowing the organization to perform complex calculations at top level as well as local.

Buy-Side Technology | News | Compliance | 07 Oct 2014

sibos-2014

Sibos 2014: Growing KYC Demands Have Industry Revisiting Models

Know Your Customer (KYC) screening is as far from a differentiating function as possible for banks, but bloating costs and a messy process for clients have caused a new push among the major sell sides and technology providers to build out managed service...

Sell-Side Technology | Analysis | Industry Issues & Initiatives | 02 Oct 2014

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SROs Submit Plan for Audit Trail, Initial Costs Estimates Average $53 Million

A group of self-regulatory organizations (SROs) selected by the Securities and Exchange Commission (SEC) submitted its plan to build, implement and maintain the Consolidated Audit Trail (CAT) that will track activity in every National Market System (NMS)...

Sell-Side Technology | News | Exchanges | 02 Oct 2014

joshua-satten-northern-trust

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

london-city-web

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

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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....