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Compliance

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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

Raf Pritchard

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

boston-5

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

esma-steven-maijoor

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

stockholm

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

patrick-ochs-gso-capital-partners

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

mark-hemsley-bats-chi-x

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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DTCC Adds Trade Reporting for Australia, Singapore

The US Depository Trust & Clearing Corporation (DTCC) has announced the extension of its Global Trade Repository (GTR) service to Australia and Singapore.

Sell-Side Technology | News | Compliance | 29 Apr 2014

meurant-luc-2

Swift Launches Compliance Analytics Tool

Messaging provider Swift has announced the launch of Compliance Analytics, a tool that helps banks in monitoring and dealing with financial-crime risk.

Sell-Side Technology | News | Compliance | 29 Apr 2014

gurvinder-singh

Cordium and Indus Valley Partners Team Up for AIFMD Compliance

UK-based compliance specialist Cordium is partnering with New York-based technology provider Indus Valley Partners (IVP) to offer a solution for the Alternative Investment Fund Managers Directive’s (AIFMD) Annex IV reporting requirements.

Buy-Side Technology | News | Compliance | 24 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 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....