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Thomson Reuters To Monitor Fatca Grandfathered Instruments

The data provider will alert users if an instrument loses its exemption from tax withholding under Fatca as a result of one of six possible types of material modifications

Inside Reference Data | News | Regulation & Standards | 28 May 2014


FINRA Begins Migration of Market Surveillance Apps to Amazon Cloud, Adopts Big Data Tech

US financial industry regulator FINRA is migrating all of its market surveillance platforms into the Amazon Web Services cloud, to enable the regulator to more efficiently store and process data, in a move that could deliver an annual cost saving of 40...

Inside Market Data | News | Industry Issues & Initiatives | 23 May 2014


Finra CIO: Our New Technology Will Lead to More Focused Surveillance

Finra's CIO Steve Randich explained how its new systems of data collection and analysis will lead to a more focused and efficient way of monitoring broker-dealers and ensuring regulatory compliance, during the North American Financial Information Summit...

Inside Reference Data | News | Regulation & Standards | 23 May 2014

New York

OFR's Reed Sheds Light on LEI's Omission from Fatca

Matthew Reed, of the Office of Financial Research and Regulatory Oversight Committee of the legal entity identifier project, says the LEI was not ready when the Internal Revenue Service made key decisions about Fatca, but suggests it will be added in...

Inside Reference Data | News | Regulation & Standards | 22 May 2014


Citi Reaps Benefits of LEI, Despite Limited Coverage

At this week's North American Financial Information Summit in New York, Citi's head of entity data operations explained how the legal entity identifier has helped the bank improve standardization and increase the number of attributes held in client records...

Inside Reference Data | News | Regulation & Standards | 22 May 2014


ESMA Outlines Potential Options for ‘Reasonable' Post-Trade Data

European financial regulator the European Securities and Markets Authority (ESMA) released a consultation paper today, Thursday, May 22, that outlines proposed technical details for the second iteration of the Markets in Financial Instruments Directive...

Inside Market Data | News | Industry Issues & Initiatives | 22 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


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


Icap Launches UK-Based SEF

Interdealer broker Icap has officially launched its London-based swap execution facility (SEF), IGDL.

Sell-Side Technology | News | Regulation & Standards | 15 May 2014


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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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...


A data-centric approach to portfolio management

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