Regulation
Regulators 2.0: Embrace Tech or Be Overwhelmed by Data
To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.
Waters Wavelength Podcast Episode 91: Sibos Preview; M&A Activity; Blockchain's Evolution
James and Anthony talk about the looming Sibos event in Toronto and take a look at some recent M&A activity and blockchain developments in the capital markets.
Bloomberg, Trax, LSE Among First Approved as ARMs
Financial Conduct Authority has started issuing approvals to entities that applied to act as ARMs under Mifid II.
Millennials Possible Threat to Cybersecurity
As digital natives, the younger generation is not used to being given guidelines on how to use technology within a firm, panelists said.
Mifid II and the changing European market structure
Sponsored webinar: Tradeweb
Demanding Regulators Drive Surveillance Tech Requirements
Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
Trade Informatics Builds out Research Analytics Suite
In addition to bolstering its research capabilities, the company is also turning to artificial intelligence to revamp its trading platform.
Trading Technologies Makes Surveillance Play with Neurensic Acquisition
Vendor picks up fintech firm for undisclosed amount, will incorporate machine learning into trade oversight.
Cheyne Capital Taps Red Deer for Mifid II Research
Cheyne Capital is using Red Deer’s management solution to help meet MiFID II’s research unbundling requirements.
Esma Issues LEI Brief, Urges Firms to Step up Efforts
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.
Waters Wavelength Podcast Episode 90: CCOs Talk About AI, Cyber Threats & Real-Time Monitoring
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.
GDPR: The Next Big Regulation
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…
ICBC Taps AxiomSL for Mifid II Solution
The bank is able to use the same platform for multiple regulatory reporting requirements.
Charles River and Trax team up for Mifid II reporting solution
Charles River Development’s Investment Management Solution will integrate Trax’s Mifid II Trade and Transaction reporting solutions.
Mifid II: Three Months to Midnight
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.
Final Call for Mifid II
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.
House Lawmakers Pressure SEC to Postpone CAT
Congress has "serious concerns" about the SEC's ability to safeguard data, politicians say.
On the Fence About Fintech Regulations
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
Regis-TR Commences Trade Repository Services in Switzerland
This service allows participants to comply with reporting obligations under FinfraG.
Impacts on Technology Beyond Mifid II
Sponsored feature: Ullink
BMCE Bank International Implements IFRS 9 Via AxiomSL Platform
A subsidiary of one of Africa’s largest banks chooses AxiomSL’s platform for its IFRS 9 compliance solution.
Six Firms Team up with IHS Markit for SFTR Reporting 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.
Technology Takes Aim at Post-Trade Black Holes
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.
Personal Details Compromised in SEC Hack
US regulator discloses that social security numbers were compromised in Edgar cyber incident from 2016.