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Compliance

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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

sydney-night-web

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

City of London

Morningstar Partners UBS Delta for Solvency II Calculations

Research firm Morningstar UK and UBS Delta have announced a joint offering that will provide Solvency Capital Requirement (SCR) calculations to asset managers, as part of the Solvency II regulation.

Buy-Side Technology | News | Compliance | 23 Apr 2014

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

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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

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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....