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Compliance

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FISD Overcomes Non-Display Best Practices Stalemate

The Business Issues Policy and Procedures (BIPPS) Working Group of industry association FISD has reached an agreement on best practices around non-display data usage policies, following 18 months of stalemate on the issue resulting from conflicts between...

Inside Market Data | News | Industry Issues & Initiatives | 20 Feb 2014

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ICBC Turns to AxiomSL for Euro Compliance Support

Beijing-headquartered ICBC, formerly known as the Industrial and Commercial Bank of China, has contracted New York-based Axiom Software Laboratories to support its European Market Infrastructure Regulation (EMIR) over-the-counter (OTC) transaction reporting....

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

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Etrali Rolls Out Mobile Voice Recording in Japan

Etrali Trading Solutions has extended its mobile voice-recording service to Japan, and will partner Natterbox to help banks in the region complying with record-keeping requirements.

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

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Scotiabank Deploys Fenergo for Compliance

Scotiabank's global banking and markets division has implemented Fenergo's Regulatory Onboarding product to support its existing systems for compliance.

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

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FTSE Urges EOD Index Data Compliance

London Stock Exchange-owned index provider FTSE has asked customers of its end-of-day index data to review their usage to ensure they are properly licensed, as part of continued efforts to promote transparency and compliance across its products and services....

Inside Market Data | News | Indexes & Ratings | 17 Feb 2014

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Troubled by Issues, EMIR Reporting Kicks Off

Mandatory reporting of derivatives trades came into force earlier this week as part of the European Market Infrastructure Regulation (EMIR), but market participants continued to raise concerns amid technology problems and far from ideal preparations....

Sell-Side Technology | Analysis | Compliance | 14 Feb 2014

Paul Tivnann at Bloomberg

Data Interoperability Needed For Hedgers After EMIR Deadline

Properly creating unique trade identifier (UTI) data is only half the challenge for buy-side firms as the European Market Infrastructure Regulation (EMIR) reporting mandate takes hold today. The other half? Making sure counterparties are doing the same...

Buy-Side Technology | Analysis | Compliance | 11 Feb 2014

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Should SEC’s 'Parking Scheme' Charges Portend Greater Trading Surveillance?

The Securities and Exchange Commission (SEC) this week charged two New York-based traders with executing a trading “parking scheme” designed to preserve bonuses, and its enforcement action should prompt investment banks to assess their ability to...

Sell-Side Technology | Analysis | Compliance | 06 Feb 2014

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BaFin Moves Highlight EU HFT Regulatory Discrepancies

Recent moves by the German Federal Financial Supervisory Authority, BaFin, have increased pressure on a number of high-frequency trading (HFT) firms as those registered under a “local license,” or non-Mifid license, won’t be authorized to perform...

Sell-Side Technology | Analysis | High Frequency Trading | 05 Feb 2014

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Markit Adds Emir Reporting to Global Trade Reporting Tool

London-based Markit has announced that MarkitSERV will now be able to report over-the-counter (OTC) derivatives trades in rates, credit and equities for customers in accordance with European Market Infrastructure Regulation (Emir) requirements.

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

NOW OPEN -- Inside Market Data Awards 2014

For more details...

Call-for-entry and voting are now open for the 12th annual Inside Market Data Awards 2014, which take place in New York on May 21. For more details of the criteria across the call-for-entry and voting categories that recognize industry excellence within market data and reference data click here.

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Latest Whitepapers

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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....

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Taking on Tablets: BYOD On The Trading Floor

We have truly entered the Age of Bring Your Own Device, or BYOD. And as with every new era fuelled by innovation, the new challenges are screaming for...