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Compliance

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barnier-michel-ec

EU Introduces First Rule on HFT

The European Parliament and the European Council last night reached agreement on updated rules for the Markets in Financial Instruments Directive (Mifid II), introducing the EU’s first rules on algorithmic trading.

Sell-Side Technology | Analysis | Compliance | 16 Apr 2014

megan-costello

GW&K Taps Fidessa Sentinel For Compliance

The $20 billion Boston-based investment manager will use the vendor's Sentinel Compliance Service to reduce operating costs across its taxable fixed income, municipal fixed income, institutional, advisory, and private client businesses.

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

robert-gray

EC to Clarify FX Reporting Rule Under EMIR

The European Commission (EC) has launched a public consultation in an attempt to clarify and harmonize the definition and reporting of derivatives contracts falling under the European Market Infrastructure Regulation (EMIR).

Buy-Side Technology | News | Compliance | 15 Apr 2014

warsaw-1-web

Polish CCP Gains Emir Authorization

KDPW_CCP, Poland's primary clearing house, has satisfied the requirements of its national regulators for authorization under the European Market Infrastructure Regulation (Emir).

Sell-Side Technology | News | Compliance | 09 Apr 2014

paris-sunset

Etrali Debuts Check Suite for Compliance

Etrali Trading Solutions has announced the launch of its Check Suite product, which allows compliance officers to monitor surveillance tools for critical errors.

Sell-Side Technology | News | Compliance | 08 Apr 2014

amsterdam-city-skyline

EuroCCP Gains Emir Authorization

Cash equities clearing house EuroCCP has announced that it has received European Market Infrastructure Regulation (Emir) authorization.

Sell-Side Technology | News | Compliance | 03 Apr 2014

City of London

Misys Launches Emir-Compliant Trade Reporting Service

Software provider Misys has launched a regulatory reporting service to assist corporate and buy-side clients with European Market Infrastructure Regulation (Emir) reporting requirements.

Buy-Side Technology | News | Compliance | 01 Apr 2014

london-skyline

Lombard Risk Signs GFI Group for Reporter

Interdealer broker GFI Group will use Lombard Risk's Reporter product to handle new standards brought in by European authorities, the vendor has announced.

Sell-Side Technology | News | Compliance | 01 Apr 2014

paul-liesching-truphone

Truphone to Offer Unlimited Recording

Truphone, the London-based provider of mobile recording solutions, will be offering unlimited voice and SMS recording as part of a drive to help financial institutions comply with mobile voice recording regulations.

Sell-Side Technology | News | Compliance | 31 Mar 2014

manhattan-14

Nasdaq Partners Catelas for Comms Surveillance

Nasdaq OMX will integrate technology from surveillance vendor Catelas with its Smarts Broker platform, offering users the ability to monitor communications in a relational and visualized manner.

Sell-Side Technology | News | Compliance | 31 Mar 2014

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