Regulation
Five Things to Consider About Crypto SROs
The idea of self-regulation makes for a good soundbite, but the practicality of the matter leaves much to be desired.
CFTC’s TAC Gives Little Insight on Reg AT’s Fate
The Technology Advisory Committee didn't have much to say about Reg AT as commissioners Quintenz and Behnam appear to disagree on how to proceed.
US Regulators Risk Falling Behind in Fintech
Blockchain consortium exec says agencies should be doing more with fintech firms.
UPDATE: AxiomSL Drives Industry Collaboration On Open Taxonomy for MAS 610
AxiomSL has convened an industry group to help devise a taxonomy that will simplify compliance reporting for the revised Monetary Authority of Singapore 601 update.
AIC’s Sayers: FCA KIDs Clarification ‘Very Helpful’
The Association of Investment Companies CEO says an FCA statement on Key Information Documents attached to Priips helps, but does not solve, the KIDs’ fundamental problem with overly optimistic projections.
FCA Releases Review of Algo Trading
UK regulator provides effective "how-to" guide for compliance.
FactSet Pairs its OEMS with CG Blockchain's Distributed Ledger
This is an early-adoption example of an OEMS being coupled with tools on a live blockchain.
Europe’s Mifid Monster Lurches to Life
January 3 went smoothly for many, but the launch of Europe's far-reaching reform package wasn't without problems.
Internal Dilemmas: Investing in Bitcoin & Clear Consciences
According to one estimate, the global bitcoin network will require more electricity than what is required to power the entire US by July 2019.
NEX and Delta Capita Team Up for SFTR Solution
NEX Regulatory Reporting partners with Delta Capita to offer SFTR compliance service.
February 2018: All Hunky Dory in the Land of Mifid II
Despite a few teething problems, Victor says Mifid II, which took effect on January 3 this year, is a net positive for the capital markets.
Client Reporting Remains Top Mifid II Implementation Challenge
A November 2017 survey of fund managers found client reporting was their biggest concern in the lead-up to Mifid II, and it remains so in the weeks following the regulation’s entry into force.
Mifid II and the Emergence of the Connectivity Hub
With the second Markets in Financial Instruments Directive now in effect, firms are still adapting to the new requirements and their long-term implications. Richard Bentley, chief product officer at Ullink, explores how the industry can remain compliant…
CAT Got Your Tongue?: An Inside Look at the Consolidated Audit Trail's Sluggish Rollout
When the Consolidated Audit Trail failed to go live in November last year, questions came as to why—but answers were not easy to come by.
Opus Launches Anti-Corruption Platform
The product is designed to help simplify the process of navigating third-party risk in other countries.
CME Defends Bitcoin Futures Approach
Exchange says it will not look to increase volumes at the cost of additional risk as participants question listing process.
FCA Names International Director, Esma Refreshes Board
UK regulator appoints Nausicaa Delfas executive director of international, while Esma replaces two outgoing board members.
IHS Markit Teams With Cambridge Blockchain for Improved KYC Functionality
The pairing was spurred on, in part, by the looming General Data Protection Rule, which is due to go into effect in Europe later this year.
Matt Comyn Named Commonwealth Bank of Australia's New CEO
Comyn has almost two decades of experience and was previously the head of CBA's retail bank.
TradeData Bows Historical Symbology Archive for Regulatory Analysis
Euromoney TradaData’s Forensyx service helps regulators investigate historical transaction reports.
Regulatory Compliance Lessons from The Merchant of Venice
Key Information Documents—mandatory under new regulations—are coming in for criticism. Jamie Hyman asks whether compliance managers might have to decide between obeying the letter and the spirit of the law.
AIC’s Sayers on the Trouble with KIDs Today
From misleading risk indicators to unfair, unbalanced requirements, the head of the Association of Investment Companies talks to Jamie Hyman about the problems with rules around Key Information Documents, and why they are nearly impossible to solve.
Esma’s LEI Xmas Extension: Last-Minute Gift or Lump of Coal?
Jamie Hyman talks with an LEI issuer, advocate and end-user about how Esma’s LEI grace period will impact operations during the first half of 2018.
Data Fee Complainants Buoyed by SEC Appointee
Recent appointments at the US Securities and Exchange Commission have led some firms to believe regulators and policymakers will finally start to address what they believe to be opaque pricing structures for market data at exchanges. Joanne Faulkner…