Regulation
Panel Discussion: The Buy-Side Challenges of Complying with the Market Abuse Regulation
The Market Abuse Regulation was designed to detect and deal with various forms of market abuse, including insider trading and market manipulation, forcing buy-side firms to deploy new technologies in order to comply.
Kaizen Lands Lee for SFTR Business
Lee has a background in regulatory reporting and SFTR, including leading an ICMA taskforce on SFTR.
Bad Blood: Regulators Lose Patience with Mifid II’s Dirty Data
Problems and bad practices continue to plague Europe's vision of a new transparency regime. An inside look.
Shield FC Hires Global Sales VP
In a newly created role, Eran Noam will head global sales for the regtech vendor.
Wavelength Podcast Episode 127: Digital Reasoning’s New AI Product; A Look at the July Issue of Waters
After an investment to improve the podcast's sound quality, Anthony and James talk about Digital Reasoning's latest move and preview the next issue of Waters.
Dark Trading Caps Not Responsible for Periodic Auction Growth, Study Finds
FCA report find that growth in periodic auction trading is not a result of dark-trading bans.
US Regulators Strengthen Ties with New Agreement
Derivatives and equity market regulators sign updated memorandum.
Digital Reasoning Readies Public Release of Model-Training Platform
To solve the old needle-in-a-haystack problem, Digital Reasoning is developing a tool dubbed Cognition to improve the training process for machine-learning models.
Compliance firm Steele Acquires TransparINT
The deal brings artificial intelligence and machine learning capabilities for anti-money laundering monitoring to Steele.
Wavelength Podcast Episode 126: Brexit Fallout; the SGX-NSE Battle Continues; Cellphone Location Data
Anthony and James hit on a wide-range of topics, from Brexit in the UK, to the SGX-NSE fight in APAC, to the Supreme Court's decision on cellphone location data in the US.
IBM Rolls Out Upgrades for Watson Financial Services Portfolio
IBM has enhanced its regtech suite of services, including the integration of Armanta’s platform after the May acquisition.
LEI Grace Period Ends July 2
Esma warns six-month LEI grace period will not be extended.
June 2018: It’s Not About Winning, It’s About Compliance
Do you know your APA from your CDO? Max summarizes the topics covered in this month's issue of Inside Data Management.
Senior SEC Staffer Says Bitcoin, Ether Are Not Securities
Digital currencies themselves do not qualify as investment contracts, regulator says, but could when packaged.
Wavelength Podcast Episode 125: Bitcoin, Ether Aren't Securities (Maybe); Privacy Issues and the Law
The SEC takes a definitive stance on the status of cryptocurrencies; the idea of privacy consistently changes with the introduction of new technologies.
Publicis.Sapient, European DataWarehouse Partner for Securitization Repository
Vendors aim to create first repository under new EU regulation.
Bank Execs Call for Regulatory Harmonization and Cross-Border Clarity
Panelists discuss operational issues involved in cross-border compliance with Mifid II.
Thomson Reuters Uses AI to Turn World-Check Tool into Financial Robocop
Using artificial intelligence and machine learning will help make Thomson Reuters News Check tool more accurate in identifying relationships between events and individuals.
SGX-NSE Battle Could Become a Long War
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.
J&J Taps Deutsche Exec for Compliance Consulting
Montagnino has held a range of compliance and surveillance-related roles at banks and trading firms.
The Right to Be Forgotten: GDPR as the Opening Salvo in Privacy
Does Privacy Exist Anymore? As people willingly give up their personal information, GDPR might be a step in a necessary direction.
Morgan Stanley Moves Beaton to Head US Trade and Transaction Reporting
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.
US Regulators Release Final Rules for T+2
The final ruling from two US prudential regulators aligns both agencies with the markets regulator.
Commissions Slump as Mifid II, Algo Trading Take Bites Out of Brokers
Data shows drop in commission costs as unbundling rules take hold, furthering decline caused by electronic execution.