Regulation
UPDATE: IHS Markit Partners with Deloitte for Mifid II Managed Service
Collaboration will combine IHS Markit Outreach 360 Deloitte compliance advisory services.
Waters Wavelength Podcast Episode 74: The Regtech Craze & Clearing Concerns
Anthony and James look at why London clearinghouses may be in danger and the use of cognitive tools to monitor employees.
Compliance Chiefs Turn to Cognitive Tech for Surveillance
Stitching together information by using cognitive tech could yield significant advantages for compliance.
Mifid II Reporting: European Regulation, Global Impact
Sponsored webinar: SIX Financial Information
IBM Takes Aim at Regtech Space Using Cognitive Technology
IBM marks its first major product launch in the financial services regulatory space with the roll-out of new cognitive solutions educated by Promontory professionals.
Tech Challenges Loom as Europe Eyes London’s Clearinghouses
New EU rules suggest London-based clearinghouses may be forced to relocate to the eurozone.
Europe's Asset Segregation Dilemma Stifles Harmonization of Post-Trade Infrastructure
The operational implications and the heated debate around the Central Securities Depository Regulation's most controversial provision is impinging on the industry's move toward harmonizing post-trade processes.
Waters Wavelength Podcast Episode 73: The UK Election, Brexit & Fintechs; The Bloomberg Point-Port Integration
An examination of what the UK election and eventual Brexit negotiations could mean for London's fintech space followed by a discussion of Bloomberg's Point-Port integration.
Market Cops Dust for Fingerprints in Modern Spoofing Cases
Data analytics are now being used to track manipulative trading, increasingly in real time.
Misys Takes Aim at Automated Mifid II Reporting
Misys is working with Broadridge on the platform, which will automate reporting ahead of new regulatory requirements
Praying for Another Day: As FRTB Looms, Banks Prepare
Industry testing for FRTB will begin in 2019 with implementation coming in 2020, though there is hope that personnel changes at the Basel Committee will lead to some extra leeway.
ESMA Fines Moody’s €1.24M for Credit Ratings Breaches
ESMA says that between June 2011 and December 2013 Moody’s failed to explain decisions for 19 ratings.
NICE Releases Robotic Process Automation for Compliance Investigations
Robotic process automation is seen to cut down on inefficient manual tasks.
ESMA Grants Approval to Bloomberg European Trade Repository
Bloomberg set to open trade repository for Europe for OTC and exchange-traded derivatives reporting.
Red Deer, Westminster Ally for MiFID II Research Solution
The end-to-end solution will remove potential conflicts in research valuation and payment.
Colchis, Alcova Tap AQMetrics for Risk, Reg Reporting
AQMetrics has added US investment management firm Colchis Capital Management and hedge fund Alcova Asset Management as clients of its Regulatory Risk and Compliance Software platform.
Credit Agricole Singapore Employs AxiomSL’s Regulatory Data Solution
Investment bank will use the solution to comply with mandates under MAS 610 and MAS 649 required by the Singaporean central bank.
FCA Urges Buy Side to Make Assumptions on Mifid II Provisions
FCA speaker says regulators would punish firms that did nothing ahead of Mifid II, but not the ones that tried but failed.
Can Automation Prevent Regulation Consternation?
Digitization and automation are key to meeting the demands of the financial industry's future regulatory burden.
‘Smart Data,’ Regulation Drive Buy-Side Content Needs, But Cost Is Main Concern
The need for “smart data” and new analytical tools that deliver trading advantages where other sources of alpha have dried up, along with the reporting and storage requirements of new regulations are placing increased demands on firms’ need to handle…
Silverfinch Adds Module to Address MiFID II
The new module will make it easier for firms to collect and aggregate the datasets required for MiFID II compliance.
CFTC Sets Up Lab to Connect with Fintech Firms
LabCFTC will help guide firms through CFTC rules and open the agency to updating its regulations to meet changing market conditions.
Tradeweb APA Signs BNP Paribas, Credit Suisse, Morgan Stanley, Societe Generale for Mifid II Reporting
Four institutions join Deutsche Bank, Goldman Sachs, JPMorgan on APA Mifid II reporting service.
Finra to Sunset Oats Over a Two-Year Period
Shutting down Oats may take two years and depend on CAT data accuracy.