Brokers eye regulatory info as growth dataset to ease banks’ compliance burden

For years, inter-dealer brokers have provided price data on the markets in which they broker trades. Now, they spy a new growth opportunity—providing tailored datasets of clients’ trading activity to help them comply with a growing and increasingly complex regulatory burden.


The plethora of new regulations introduced over the past decade—from Mifid II to the Securities Financing Transactions Regulation (SFTR), the Market Abuse Regulation (MAR), and Basel’s upcoming Fundamental Review of the Trading Book (FRTB)—has left financial firms struggling to find and report the data required for regulatory compliance.

Part of the challenge is the sheer scale of the requirements. Michelle Zak, CEO and co-founder of compliance specialist Qomply, notes that compliance is a

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact or view our subscription options here:

You are currently unable to copy this content. Please contact to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Waterstechnology? View our subscription options

If you already have an account, please sign in here.

Brown Brothers Harriman unifies busy suite of AI products

It’s a new world, contend BBH’s Kevin Welch and Josh Fine. After a few years of experimentation that yielded several AI products for the bank and its clients, it was time to put the puzzle pieces together to serve a different way of working post-Covid.

Bank-backed Versana takes aim at syndicated loan tech

Born from a consortium that includes JP Morgan and Bank of America, Versana aims to bring up-to-date and permissioned data to the syndicated loan market—the first step to a more transparent and faster operating market.

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here: