While buy- and sell-side firms grapple with the reporting obligations imposed on so-called systematic internalizers under Mifid II, the number of registered SIs continues to grow. Jamie Hyman investigates why more firms are opting in to the designation…
It is looking increasingly likely that no consolidated tape provider will be authorized by the time Mifid II comes into force Jan. 3; regulators call lack of authorized CTP an “ongoing issue.”
The regtech firm has released a platform designed for compliance with the General Data Protection Regulation and the Accountability Regime.
UK regulator's Mifid coordinator underscores message from European Commission earlier this month: no further delays to deadline. However, enforcement will be targeted.
First enforcement action under EMIR taken by UK financial watchdog over exchange-traded derivatives reporting.
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
Financial Conduct Authority has started issuing approvals to entities that applied to act as ARMs under Mifid II.
Lingering questions remain over the SEC's handling of its own cybersecurity incident.
The regulator says that it cannot create a layer of permitted compliance below European standards.
R3 has built a prototype application for regulatory reporting of mortgage transactions with the help of the FCA and two major banks.
Surveys of asset managers find disparate levels of readiness for new regulations among the buy side.
Six entities have been officially approved by the Financial Conduct Authority to act as APAs under MiFID II.
Trade reporting and publication mechanisms are a key part of the new MiFID II legislation. So why are alarming numbers of firms yet to choose their providers? With a last-gasp sprint on the cards in a crowded field of participants, Jamie Hyman…
The implications of Brexit can wait; Mifid II is a much more prescient concern for sell-side institutions, not just in Europe.
Regulators may be about to call the industry's bluff on Mifid II time pressures
UK regulator puts scandal-hit benchmark on notice as industry examines alternative rates
IBM makes headway with blockchain and encryption services; the FCA's Stephen Hanks says firms need to make decisions about their ARMs and APA providers soon.
UK watchdog accepts “scale of the challenge” but urges firms to “crack on” with putting data reporting apparatus in place
Bloomberg gets FCA approval to test transaction reporting capabilities under MiFID II
Asset managers are facing a stark choice between technology investment or obsolescence.
NDF trading platform will add new products and services by year-end, and is regulated by both the CFTC and FCA.
Waters Wavelength Podcast Episode 77: A Look at Mifid II Developments & the Use Cases for Behavioral Analytics
This week, Anthony and James take a look at recent developments pertaining to Mifid II and then they talk about how firms are increasingly turning to behavioral analytics platforms to better examine trading decisions.
Amendments to rules on best execution and investment research confirmed by regulator for UK firms ahead of January 2018 implementation date.
John considers the momentum around the Regtech movement and if it can last for some of the smaller firms in the space.