JWG: Buy-Side Firms At Risk of Missing MiFID II Deadline Eye Outsourced Data Management, Reporting

Data management solutions among most popular areas for outsourcing to comply with impending rules.

regulation-and-compliance

JWG analysts found that 90 percent of the firms they surveyed reported a medium or high risk of non-compliance by January 2018.

Data management solutions and record-keeping are requirements that some firms told JWG they plan to outsource, but the most-outsourced function is reporting, with 25 percent of firms planning to contract out this requirement. The survey found that most firms plan to keep research, trading and client management in-house. According to JWG, that may be because in areas

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SEC squares off with broker-dealers over data analytics usage

The Gensler administration has ruffled feathers in the broker-dealer community with a new proposal seeking to limit their use of predictive data analytics. But at the heart of this deal is something far more seismic: one of the first attempts by the SEC to regulate AI.

The Cusip lawsuit: A love story

With possibly three years before the semblance of a verdict is reached in the ongoing class action lawsuit against Cusip Global Services and its affiliates, Reb wonders what exactly is so captivating about the ordeal.

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