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Compliance

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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

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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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Nasdaq Breaks New Ground with FX Surveillance Module

Nasdaq OMX has announced the release of a surveillance platform specifically designed to monitor trading activity in foreign-exchange (FX) markets, named Smarts FX Trade Surveillance.

Sell-Side Technology | News | Compliance | 15 May 2014

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CME, TriOptima Pair on OTC Trade Repository Reporting

Chicago Mercantile Exchange (CME) has tapped over-the-counter (OTC) derivative post-trade services provider TriOptima, owned by interdealer broker Icap, to provide data verification and portfolio reconciliation of trading data through its Swap Data Repository...

Sell-Side Technology | News | Compliance | 13 May 2014

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Charles River Integrates SEF Workflows with IMS

Charles River Development has announced that its Investment Management System (IMS) product is now compatible with workflows from leading swap execution facilities (SEFs) in the US.

Buy-Side Technology | News | Compliance | 08 May 2014

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Only Half-Way There in Markets Reform, Says Esma Chair

Speaking at an event organized by the Association for Financial Markets in Europe (AFME) today in London, Steven Maijoor, chairman of the European Securities and Market Authorities, says that although ESMA is near to fulfilling the Group-of-20 commitments...

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

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Trapets Introduces Outsourced Market Surveillance

Trapets AB has announced the launch of Outsourced Market Surveillance, its new, fully out-of-house program for handling surveillance requirements at trading firms.

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

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GSO Capital Partners Turns to SS&C for Form PF Filings

GSO Capital Partners only began outsourcing its regulatory filings once Form PF came around. The performance of SS&C GlobeOp in handling that filing may prod GSO to hand over others.

Buy-Side Technology | Analysis | Compliance | 02 May 2014

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ECJ Rejects UK’s Appeal on Financial Transaction Tax

The debate on the European Financial Transaction Tax (FTT) was reignited today as the European Court of Justice (ECJ), the highest court within the EU, rejected the UK’s action against the introduction of the controversial tax, also called Tobin Tax,...

Sell-Side Technology | News | Trading Technologies and Strategies | 30 Apr 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 fast, flexible and reliable investment decision-making process must be based on access to accurate and consistent information throughout an organization....