Regulation
April 2017: The Regulation–Data Vicious Circle
Many data management initiatives are inspired by efficiency and best practices, but only become reality after regulatory involvement.
iMeta Taps JWG for Regulation Rule Sets
By integrating JWG's RegDelta platform, iMeta will be able to offer more details and interpretations of regulations to support client compliance and risk functions.
Bafin Opens Up About Electronic Whistleblower Platform
The German regulator discusses its recently launched platform through which financial markets employees can anonymously report regulatory abuses.
CJC Hires Industry Vets Clark, Cartledge, Humby
The trio will lead a new division at CJC focusing on regulation relating to banks' contributed price data.
VidaCaixa Taps SimCorp for Data Management, Compliance, Risk Management
The Spanish firm is rolling out SimCorp Dimension to cover a range of functions, after signing up to use the platform in December.
The Technology Impacts of Mifid II (Part 3)
Ullink's Richard Bentley focuses on the changes likely to occur in the relatively mundane yet hugely important post-trade environment in the wake of the introduction of Mifid II.
If It’s Europe, It’s Mifid II: The Directive Will Seep Into Every Trade
"Meredith Gibson, director at Meredith Gibson Advisory, stressed the importance of speeding up the processes of putting together and following a full compliance strategy, given that there would be significant complications for anyone who might fall…
Opus Debuts Preconfigured KYC Service
With no client-site IT requirement, officials say the entry-level platform will suit banks with less complex KYC needs for whom speed and ease of deployment is more important.
Mirabaud Securities Focuses on Mifid II Execution, Liquidity Management with MES Platform
New platform places emphasis on optimizing liquidity and execution management ahead of significant challenges presented by Mifid II.
April 2017: Headlines and Deadlines
"But what about the January 3, 2018, Mifid II deadline? To what extent are capital markets firms’ minds concentrated on that deadline?"
FCA Recognizes Mifid II Data Challenges but Reiterates “Real Deadline” Stance
The UK's Financial Conduct Authority is working to ensure its own readiness for Mifid II data challenges, and acknowledges that many firms will struggle with similar issues.
Ullink Launches Multi-Asset Trading Reporting Platform for Mifid II Compliance
Automated trade reporting solution for multiple asset classes to provide centralized view of reporting activity under new Mifid II regulation.
Dun & Bradstreet Bows ‘Beneficial Ownership’ Data for AML, KYC Compliance
D&B's new tool will help companies in the financial markets and other industries comply with KYC-related regulations.
Bracing for a RegTech Boom
With an unenviable raft of new regulation imminently coming into force, market participants anticipate a flurry of adoption of compliance-related technology, which is expected to prove lucrative for RegTech providers. Joanna Wright and Max Bowie talk to…
Brexit Undermines MiFID Data Foundations
Even after Britain leaves the European Union, financial firms wanting to do business within the EU will need to comply with MIFID II. But removing the UK from EU markets could still derail new European trading and transparency rules. Samuel Wilkes…
IEX Questions NYSE’s Plan, Intent Behind Speed Bump Proposal
John Ramsay, IEX's chief market policy officer, speaks to WatersTechnology about the issues the exchange sees with NYSE’s plan for implementing a speed bump at NYSE MKT.
Waters Wavelength Podcast Episode 61: Automating Processes
Dan and Emilia discuss the pros and cons of implementing an automation solution that’s holistic.
Giancarlo Sets New Course for CFTC That Includes Focus on FinTech Firms
In addition to setting a plan to foster fintech innovation, he also laid out a new strategy to reduce the Commission's regulatory footprint, much to the relief of those in attendance at the FIA Boca conference.
March Madness: 2nd Annual Financial Technology Trends Tournament
In honor of the NCAA men’s and women’s basketball tournament starting this week, Dan creates a bracket of the biggest financial technology trends.
Mifid II's Impact on Fixed-Income Trading Sharpens
From trade reporting to best execution requirements, the fixed-income market is going to change in 2018...but what that change will look like is still to be determined.
Indata Releases Mifid II Enhancements for iPM Epic Platform
iPM Epic platform’s compliance, data management and OMS functionality all updated in anticipation of new European regulation due in January 2018.
UK’s Financial Conduct Authority Has One Eye on Europe, One on Asia
The UK regulator has strong words for asset managers on best execution, while it builds bridges for fintech development with its Japanese counterpart.
Broadridge Continues Acquisition Binge, Adds Message Automation Ahead of Mifid II
Last year, Broadridge made several acquisitions across its different platforms, adding 4sight and Dojima specifically for their regulatory compliance offerings. Message Automation is another step in broadening its compliance suite.
BBVA Taps Wolters Kluwer for Liquidity Risk and Regulatory Reporting
The UK subsidiary of Spanish Bank BBVA has adopted Wolters Kluwer's OneSumX offering to meet its liquidity risk and reporting requirements.