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Six Eyes Swiss Trade Repository

Six has announced its intention to establish a trade repository for derivative transactions, in association with a number of investment bank customers.

Sell-Side Technology | News | Compliance | 05 Jun 2014

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Euronext UK Markets Gains RIE Status

The London-based venue in the Euronext group, Euronext UK Markets, has been granted Recognized Investment Exchange (RIE) status by the UK Financial Conduct Authority (FCA), ahead of the group being spun out by parent company IntercontinentalExchange (ICE)....

Sell-Side Technology | News | Exchanges | 04 Jun 2014

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UK Government Mulls FX Oversight

The UK Chancellor of the Exchequer, George Osborne, is reportedly preparing to announce plans that would see formal regulation enter the foreign-exchange (FX) markets for the first time.

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

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BMO Capital Markets Chooses Fenergo for Fatca, Derivatives Compliance

Fenergo will complete the first phase of the implementation of its onboarding software for the Canadian investment firm on July 1, when Fatca comes into force

Inside Reference Data | News | Regulation & Standards | 03 Jun 2014

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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

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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

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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

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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

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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

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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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