Financial Conduct Authority has started issuing approvals to entities that applied to act as ARMs under Mifid II.
As digital natives, the younger generation is not used to being given guidelines on how to use technology within a firm, panelists said.
Sponsored webinar: Tradeweb
Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
In addition to bolstering its research capabilities, the company is also turning to artificial intelligence to revamp its trading platform.
Vendor picks up fintech firm for undisclosed amount, will incorporate machine learning into trade oversight.
Cheyne Capital is using Red Deer’s management solution to help meet MiFID II’s research unbundling requirements.
The European Securities and Markets Authority (Esma) urges market participants to take action now to obtain their LEI code before the Mifid II January 3, 2018 deadline.
Compliance heads from Guggenheim Partners, Sierra Global Management, J Goldman & Co., and Rimes talk about trends in the regtech space. Anthony and James talk about the Symphony-Bloomberg battle.
While all the talk pertaining to regulation across the capital markets has centered on Mifid II, GDPR has surprised many financial institutions due to the extent of its reach and the data governance challenges is poses. Anthony Malakian talks with…
The bank is able to use the same platform for multiple regulatory reporting requirements.
Charles River Development’s Investment Management Solution will integrate Trax’s Mifid II Trade and Transaction reporting solutions.
Time is running out for buy-side firms to get their houses in order, ahead of a wholesale revamp of Europe’s trading rulebook, James says.
National and privately owned stock exchanges across Europe, the heart and mind of the bloc’s financial marketplace, are gearing up for January 3, 2018, when Mifid II finally comes into force.
Congress has "serious concerns" about the SEC's ability to safeguard data, politicians say.
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
This service allows participants to comply with reporting obligations under FinfraG.
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A subsidiary of one of Africa’s largest banks chooses AxiomSL’s platform for its IFRS 9 compliance solution.
IHS Markit partners six securities finance market firms as part of an ongoing effort with Pirum Systems to build a Securities Financing Transaction Regulation reporting solution.
The influence of regulation and new technology is prompting a hard look at how post-trade processes can be improved, and perhaps even replaced entirely.
US regulator discloses that social security numbers were compromised in Edgar cyber incident from 2016.
Fundamental change is coming to how research is paid for under new European rules, and the impact cannot be underestimated.
JPMorgan's Oliver Harris joins the podcast to talk about advancements in the fintech world and some of the specific projects underway at the bank.