Regulation
IBM Talks CAT Database
Dan DeFrancesco chats to IBM's Ron Lefferts about his firm's role in creating and managing the database underpinning the Consolidated Audit Trail, set to come online in November this year.
Why Can’t the Buy Side Get to Grips with Mifid II?
With nine months left to prepare for the arrival of Mifid II in Europe, John asks why the buy-side community is still struggling to get to grips with how the regulation will impact technology infrastructures and applications.
Will OTFs End OTC Markets?
Aggelos explains that both the European Commission and the European Securities and Markets Authority have been explicit in their communication when it comes to derivatives trading in general and transparency around OTC products in particular, in the run…
The Technology Impacts of Mifid II (Part 2)
In the first article of this three-part series, Richard Bentley looked at the implications of Mifid II for banks’ and brokers’ technology stacks to support their electronic order flow, with specific focus on pre-trade workflows. He now turns his focus to…
Taking a Hack: JPMorgan's Anthony Johnson
Anthony Johnson discusses race, management, and cybersecurity in the capital markets.
A Scary New World for CISOs
“What happens if someone destroys the fabric of the internet, where the whole objective is not to make money but to make the world burn?"
CAT Constructor: Why Thesys Won, Finra Lost and What Comes Next
On January 17, the self-regulatory organizations announced that Thesys Technologies had won the right to build the Consolidated Audit Trail, putting it in charge of what will be one of the biggest financial technology projects in the history of the…
Reg-Room Expands Regulatory Monitoring Tools
Reg-Impact builds on the vendor's existing Reg-Track tool for monitoring upcoming regulatory changes.
Fee Structure Lures Hedge Fund Pier 88 to LiquidityBook’s POEMS
Pier 88’s Jackie Fertitta discusses why her hedge fund chose LiquidityBook over others in the market.
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.