Digital currencies themselves do not qualify as investment contracts, regulator says, but could when packaged.
The SEC takes a definitive stance on the status of cryptocurrencies; the idea of privacy consistently changes with the introduction of new technologies.
Vendors aim to create first repository under new EU regulation.
Panelists discuss operational issues involved in cross-border compliance with Mifid II.
Using artificial intelligence and machine learning will help make Thomson Reuters News Check tool more accurate in identifying relationships between events and individuals.
The exchanges are currently undergoing arbitration regarding the launch of SGX’s new futures contracts meant to succeed the outgoing SGX Nifty 50 suite of products.
Montagnino has held a range of compliance and surveillance-related roles at banks and trading firms.
Does Privacy Exist Anymore? As people willingly give up their personal information, GDPR might be a step in a necessary direction.
Beaton brings to the new role 15 years of expertise in financial services program management, regulatory and risk oversight, and audit trail recovery and management.
The final ruling from two US prudential regulators aligns both agencies with the markets regulator.
Data shows drop in commission costs as unbundling rules take hold, furthering decline caused by electronic execution.
Pinn will bring his expertise of KYC, financial crime and risk intelligence to the cryptocurrency arena.
Wei-Shen Wong joins to discuss the brewing battle between the SGX and NSE and Anthony and James look at Esma's shot at reporting platforms.
Reporting platforms told by regulator to substantially improve quality of publicly reported data.
Compliance officers say they are increasingly looking at AI-powered tools to help with things like surveillance, reporting and fraud monitoring.
Regulation is the key to weeding out bad actors in the cryptocurrency and blockchain spaces, bank expert says.
While Mifid II still has some serious challenges for firms to contend with, one part of Europe believes it has a solution to some of the cultural--if not the practical--issues of the still-fresh regulatory regime.
Traders say Mifid II transparency is failing partly as a result of questionable practices by trading venues and APAs, which publish pre- and post-trade data, and that the data is not always available to the public for free as the law requires
Cboe's CIO joins the podcast to discuss the exchange's tech migrations after the Bats acquisition, and Anthony and James give a primer on GDPR.
Common business practices among Nordic coutries may mean the region is better placed to handle the data management aspects of new regulations.
The wide adoption of reference data and accompanying standards creates both opportunities and challenges, said Cusip Global Services vice president and COO at the North American Financial Information Summit.
AxiomSL launched its new cloud solution for material nonpublic information for regulatory and risk reporting to make it easier for clients to access information.
Agency will step in and act where required, but the lion’s share of responsibility falls to venues.