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Compliance

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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

sydney-night-web

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

cme

CME Files for Trade Repository in Québec

The Chicago Mercantile Exchange (CME) has filed an application with the Autorité des Marchés Financiers (AMF), the regulatory and oversight body for Québec's financial sector, to operate a trade repository service in Québec.

Sell-Side Technology | News | Compliance | 12 Sep 2014

louise-green

BvD Ups Bank Compliance Data

Dutch company information provider Bureau van Dijk will this month begin rolling out enhanced features to Bankscope, its database of banks' financial statements, ratings and intelligence, in response to increased customer demand for quick and user-friendly...

Inside Market Data | News | Research & Commentary | 12 Sep 2014

dan-kuhnel

ISIN Identifier Standard Widened For Regulatory Compliance

The scope of the key securities identifier, the International Securities Identification Number (ISIN), has been widened. The updated standard will improve transparency and efficiency for both regulators and firms, says Dan Kuhnel, chairman of the Association...

Inside Reference Data | Analysis | Compliance | 11 Sep 2014

cover-market-surveillance-waters0714

Market Surveillance Special Report

August 2014 ─ sponsored by Nasdaq OMX and Nice Actimize.

Waters | Special | Compliance | 10 Sep 2014

marc-murphy-fenergo

Fenergo Expands to Asia-Pacific

Company appoints Brett Hodge, former head of Asia at Avox, as head of sales for new Sydney office, in response to new regulatory compliance services demands for OTC derivatives

Inside Reference Data | News | Compliance | 05 Sep 2014

montreal-web

Fenergo and BMO Continue Compliance Partnership

Software provider Fenergo and Bank of Montreal Capital Markets (BMO) are preparing to launch phase two of their onboarding project, designed to meet regulatory deadlines in July.

Inside Reference Data | News | Compliance | 01 Sep 2014

james-rundle-waters

Nobody Reads These Things Anyway, Right?

Deutsche's FCA penalty leads this week's coverage.

Sell-Side Technology | Opinion | Compliance | 01 Sep 2014

fuard-ahamed-millenniumit

MillenniumIT Preps Surveillance Algo Library

Market surveillance and compliance teams always have one perpetual challenge in modern markets: staying ahead of the curve.

Sell-Side Technology | Analysis | Compliance | 14 Aug 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...

eagle-whitepaper-jan2014

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....