Regulation
Abide Financial Applies to Become ARM, APA Provider
Ahead of Mifid II implementation, Abide aspires to become one of the largest Approved Publication Arrangement (APA) and Approved Reporting Mechanism (ARM) providers.
Reaching the Intersection of Regulation and Automation
How technology can support sell-side firms in the new regulatory era.
Looming Regulations Will Drive Regtech Adoption in 2017
With an increase in regulation requiring automated processes and accurate data, adoption of so-called regtech tools is likely to snowball, participants say.
CIBC Expands Wolters Kluwer Reporting Hub to Asia
Canadian financial group expands its existing use of OneSumX's monitoring and reporting solution.
FactSet Deploys Narrative Science's Natural Language Generation Tool
The result aims to improve analytics and reporting capabilities for users.
Regulatory Forbearance May Not Be Forthcoming for VM Rule Changes
A last-ditch plea to regulators to take a lenient approach once the variation margin requirements come into effect may fall on deaf ears.
Convergex Taps Ancoa for AWS-Hosted Market Surveillance Platform
Agency-only brokerage taps Ancoa for hosted platform in response to increasing regulatory demand for market surveillance tools.
ADVFN Bows Feed of Brexit-Affected Instruments
The feed provides news and information about stocks, indexes and currencies that ADVFN has identified as being subject to impact from Brexit.
Atlantic Fund Services Taps Confluence for Form N-Port, Form N-CEN Reporting
Fund administrator will also use the vendor's Unity Prospectus product.
The Technology Impacts of Mifid II (Part 1)
Mifid II, set to come into force at the start of January 2018, will have far-reaching consequences for large numbers of European market participants, not only from an operational perspective, but also, significantly, in terms of their technology stacks…
Erste Group Taps Asset Control for PRIIPS, MiFID II Compliance
The Austrian banking group will use the vendor's AC Plus data management platform, with its central security master architecture, to meet MiFID II and KIDS templates requirements.
Variation Margin Requirements: The New Big Bang
On March 1 this year, a new set of requirements for variation margins on derivatives trades take effect that will affect nearly all market participants across both cleared and non-cleared derivatives. In the run-up to the deadline, John Brazier finds…
Regulation in 2017: New Day, Same Concerns
Between Mifid II and talks of dismantling Dodd–Frank, it might seem like a volatile period ... but when it comes to tech, how much has really changed?
A Tighter Leash on Regulation
The new administration has made comments about regulation's future that could put some policies on thin ice.
System Down: What Is Reg SCI's Future?
The future of some regulations are in question, Reg SCI just might be one of the casualties.
300 Pages of Confusion in the Name of Transparency
Particpants need more clarity on Mifid's trade reporting requirements
IPC, Verba Partner for Skype Recording
Both hope to offer larger regulatory compliance solutions to clients.
February 2017: The US Unleashes Its Trump Card
Despite an anti-regulation stance, the Trump administration is unlikely to completely repeal Dodd–Frank, Victor says.
Asset Management One Taps Ullink for Xilix Pre-Trade Risk, Compliance
Japanese investment group implements pre-trade risk and compliance elements of Ullink’s Xilix execution management system.
Waters Wavelength Podcast Episode 55: All Things Mifid II
Dan and Anthony chat about four recently-published features from Waters and Inside Data Management that look at various aspects of Mifid II. This week’s podcast is sponsored by SmartStream.
McObject Unveils V.7.1 of eXtremeDB Financial Edition to Tackle Regulatory Data Demands
The enhancements in version 7.1 position McObject as a provider of underlying technology to help firms meet MiFID II's best execution requirements and the demands of FRTB.
CIP Cap Merges Vendors for RegTech Powerhouse
The deal will combine three vendors with a wealth of regulation- and compliance-related technology solutions.
BNP Paribas Securities Services Invests in Compliance Fintech Firm Fortia
Fintech vendor specializes in development of machine learning, artificial intelligence for compliance and regulatory requirements.
SEC's First-Ever COO to Leave Regulator in February
Jeffery Heslop was named the SEC's COO in 2010.