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Regulation & Standards

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fca-building

SS&C GlobeOp Gains UK Regulatory Approval for Depositary Lite

SS&C GlobeOp has gained full UK Financial Conduct Authority (FCA) approval for its Depositary Lite service, the provider has announced.

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

sro-consolidated-audit-trail-components-flow

CAT Bid List Shrinks to Six

The national securities exchanges and the Financial Industry Regulatory Authority (Finra) have selected six bids from the list of ten request-for-proposal (RFP) responses that were submitted to build and maintain the Consolidated Audit Trail (CAT).

Sell-Side Technology | News | Regulation & Standards | 03 Jul 2014

mark-hemsley-bats-chi-x

New Clients Join BATS Chi-X Europe Reporting Service

BATS Chi-X Europe has announced that four new participants have joined BXTR, its recently-launched suite of on- and off-exchange trade reporting service.

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

gerard-hartsink1

LEI Foundation to Focus on Search for CEO, But COU Unlikely This Year

Following its inaugural meeting last week, the board of directors of the global legal entity identifier foundation is to focus on finding a CEO of the foundation, but does not expect the central operating unit of the system to be up and running before...

Inside Reference Data | News | Regulation & Standards | 01 Jul 2014

alex-wolcough-etrading-software

Study Recommends Open Standard For Taxonomies

London-based companies eTrading Software and Expand, working with broker-dealers, concluded that FIBO and ISMAG fixed-income data efforts would coordinate better with an open standard

Inside Reference Data | News | Regulation & Standards | 01 Jul 2014

irdmicrophone

Compliance Through Crowd Computing -- Webcast

On June 25, Inside Reference Data hosted a webcast about how crowd computing can help financial institutions manage the requirements of new regulations by enabling them to combine automation tools, subject matter experts and online workers

Inside Reference Data | Web Seminar | Regulation & Standards | 01 Jul 2014

city-of-london-1

BlueBay AM Taps Confluence for Regulatory Reporting

Blue Bay Asset Management has selected Confluence's Unity NXT regulatory reporting suite of solutions to comply with a raft of upcoming regulations currently affecting the buy side, such as the Alternative Investment Fund Managers Directive (AIFMD)

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

city of london

Omgeo Adds ProtoColl Link to DTCC Repository

Post-trade vendor Omgeo has announced that its ProtoColl software now connects to the Depository Trust and Clearing Corporation’s (DTCC) Global Trade Repository (GTR).

Sell-Side Technology | News | Compliance | 30 Jun 2014

nicholas-hamilton

Fatca: The End of the Beginning

Practitioners have spent many months preparing for key aspects of the Foreign Account Tax Compliance Act that come into effect this week. But few will be able to breathe a sigh of relief when the US anti-tax evasion measure goes live, as similar requirements...

Inside Reference Data | Opinion | Regulation & Standards | 30 Jun 2014

james-rundle-waters

How the West Was Won

In most asset classes, electronic trading is beginning to win the day for regulators. James looks at how e-trading encourages oversight, as well as innovation.

Sell-Side Technology | Opinion | Regulation & Standards | 30 Jun 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....