Firms addressing data systems customized based on jurisdictional rules, along with varied business practices
Firms need to adopt new technologies in data surveillance and monitor communications to check for market manipulation intent
The path for the legal entity identifier to reach its administrator’s goal of 1.5 million registrations must be paved collaboratively with the industry that carries out the work of registering. Michael sees GLEIF, the administering foundation, as gaining…
Collaboration for front-office compliance completes identification of types of interactions
London Stock Exchange platform partners with other market infrastructure providers for regulatory compliance
UK regulator's Project Innovate looks at regulatory reporting, KYC
Dan and Anthony talk about the future of trading turrets and Sifma's response to the CAT plan.
Over an 18-month period, ESMA found nine instances where Fitch analysts shared information with Fitch's parent company, in breach of ESMA rules.
MiFIR compliance will spur continued growth of registrations
The hurdles the CAT has faced stem from the SEC giving the power to SROs.
Industry group criticizes SROs; calls for regulatory body to resolve issues before approval of development plan.
Fintech expert: As distributed ledger technology matures, its use cases are becoming clearer
The commission's decision to keep the ISIN identifier standard reaps criticism from industry professionals
US commodities regulation agency extends support for GMEI joint utility
Vendors discuss how they're adjusting to new regulatory requirements.
Legal entity identifier backers turn their focus to quality, but volume is still an issue
The fine is the highest imposed by the SEC for violations relating to reporting of "blue sheet" data, which encompasses various types of trade data.
Jean-Marc Levy tells WatersTechnology that the vendor will build more predictive tools to monitor employees, expand into Europe and expand beyond financial services.
The acquisition will improve the reporting and filing process, while making it easier for clients to extract information from disclosures.
Abide Financial and Corvil announce joint solution that includes function to help clients accurately capture trades
Firms increasing focus on anti-money laundering and know-your-customer requirements, Wolters Kluwer advisor says
Org ID managed service will follow outsourcing provider standards set by banking industry group
Anthony says that while it’s not often cited as the main reason to move away from email, when it comes to know-your-customer, cybersecurity should be near the top in a pitch meeting.
When it comes to KYC demands, while the sell side still has it the roughest, over the last two years, the buy side has had to take on a greater share of the burden.