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Swift Adds Two to Compliance Services Arm

SWIFT has appointed Christopher Johnson and Fedra Ware as Practice Leads, Compliance Services, in the Americas.

Sell-Side Technology | News | Compliance | 18 Jun 2014


Linedata Adds FATCA and AML Functionality to Mshare

Linedata has announced its transfer agency software, Mshare, is now able to address regulatory compliance requirements with additional FATCA withholding tax capabilities and Anti-Money Laundering (AML) updates to its service.

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


Mizuho Trust & Banking Luxembourg Taps SimCorp

The custody, fund administration, and securities services arm of the Japanese bank, operating in the micro-state and known as MHTBL, will use SimCorp's Dimension to maintain compliance with impending EMIR and AIFMD regulation and for other business support...

Buy-Side Technology | News | Compliance | 11 Jun 2014


Former CFTC General Counsel: US Swaps Reform a Mixed Bag of Outcomes

Terry Arbit, former deputy general counsel for legislative and intergovernmental affairs at the Commodity Futures Trading Commission (CFTC) and now partner at Norton Rose Fulbright, gave attendees at this morning's Waters Breakfast Briefing a first-hand...

Buy-Side Technology | Analysis | Compliance | 10 Jun 2014


Charles River Launches Integrated Cloud Compliance Environment

Charles River Development has announced the debut of its latest cloud offering for buy-side clients, geared towards centralizing data, software and services that it is dubbing "Compliance-as-a-Service" (CaaS).

Buy-Side Technology | News | Compliance | 05 Jun 2014


Six Eyes Swiss Trade Repository

Six has announced its intention to establish a trade repository for derivative transactions, in association with a number of investment bank customers.

Sell-Side Technology | News | Compliance | 05 Jun 2014


Delegated Reporting not a Silver Bullet for the Buy Side

While delegated reporting for derivative transactions can ease some of the strain on buy-side firms, the onus is still firmly on them to ensure the accuracy of what’s being reported on their behalf, and this can be difficult to determine, senior executives...

Buy-Side Technology | Analysis | Compliance | 22 May 2014


FCA Expresses Concern over System Readiness for EMIR Compliance

While market participants continue to struggle with requirements of the European Market Infrastructure Regulation (EMIR), some relief has come from the UK Financial Conduct Authority (FCA). With that, though, is also a warning shot about having systems...

Buy-Side Technology | Analysis | Compliance | 20 May 2014

London's Canary Wharf at night

Lombard Risk Offers Free XBRL Checker Tool

Risk-management specialist Lombard Risk has announced the launch of a free tool designed to assist reporting firms in determining the root cause of extensible business reporting language (XBRL) errors with regulatory submissions.

Sell-Side Technology | News | Compliance | 19 May 2014


Maitland Gets AIFMD Authorization in Luxembourg

Wealth manager Maitland has been authorized by the Luxembourg regulator CSSF to operate as an alternative investment fund manager (AIFM) to third-party alternative investment funds (AIFs), and to offer fully compliant AIFMD management company services....

Buy-Side Technology | News | Compliance | 16 May 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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