Regulation
Waters Wavelength Podcast Episode 38: Bruno Campenon, BNP Paribas Securities Services
Dan talks to with Bruno Campenon, Americas head of custody and clearing services for BNP Paribas Securities Services, about the bank gaining approval to be a custodian for CME Clearing.
Managing Risk and Compliance, Through the Flow of Data -- Webcast
Archive recording of September 28 webcast on managing risk profile data for compliance
Tick Size Pilot Program Launches
The SEC's project to better understand the impact of changing the tick size for securities of small-cap companies kicks off today.
CFTC’s Petal Walker says Dual Tracking Reg AT’s Source Code Proposal Not on Radar
At this year's Chicago Trading Technology Summit, the CFTC's Petal Walker gave an update on Reg AT's progression and what's at stake for the source code provision.
CFTC Chief Counsel Petal Walker Discusses Reg AT's Source Code Proposal
At this year's Chicago Trading Technology Summit, the CFTC's Petal Walker gave an update on Reg AT's progression and what's at stake for the source code provision.
IBM Buys Promontory Financial, Blends Watson's AI with Regulatory Expertise
Promontory will serve as the foundation of the newly formed Watson Financial Services unit of IBM.
IBM to Acquire Promontory Financial in Move to Blend Watson's AI with Regulatory Expertise
Promontory will serve as the foundation of the newly formed Watson Financial Services unit of IBM.
Opus Debuts Alacra Regulation Guide
Periodic Table of Bank Regulation and Compliance provided as free service
Bloomberg Allows Tweeting Directly Through Terminal
Users can tweet directly from Instant Bloomberg through new Social <Go> feature.
Raiffeisen Bank International Selects SmartStream for Cash, Liquidity Reporting Solution
The firm seeks to monitor and manage cash positions on an intraday basis to comply with Basel III principles.
Thomson Reuters Looks to Grow APAC Footprint for AML/KYC
Compliance talent is thin in the region, hence why firms are looking to vendors for help.
IHS Markit, AITEC, AIMA Put Due Diligence on Know Your Third Party
AITEC-AIMA's due diligence questionnaire on vendors will be made available on the platform.
DTCC Lowers Trade Repository Fees for Australia and Singapore
The pricing change for ASIC and MAS transactions is effective Oct. 1.
Singapore, Collateral & SS&C’s Latest Acquisition: A Week in Review
John considers some of last week’s top BST stories, including SS&C’s acquisition of Wells Fargo’s fund administration business.
Two More Banks Join Project Sentinel
Consortium now numbers nine institutions
Lombard Risk Rolls Out AgileCollateral to Tackle Buy-Side Collateral Management
Launch of cloud-based, streamlined version of Colline solution aimed at buy-side collateral management compliance and efficiency.
S3 Rolls Out New Rules Coverage, Looks to Expand Reporting Capabilities
S3's Regulatory Reporting Suite already covers SEC Rules 605 and 611, and the current iteration of Rule 606; while the Finra Pilot Program goes into effect on Oct. 3.
Bloomberg Entity Exchange Lands First Singapore Buy-Side Client
Gordian Capital says the know-your-customer (KYC) solution will help accelerate client fund launches.
RIMES Unveils Buy-Side Surveillance Platform for MAR Compliance
RIMES’ RegFocus offering is designed to reduce the risk of insider dealing and market manipulation for the buy side and helps firms comply with the new MAR regime.
Golden Copy: It's A Legal Matter From Now On...
With a nod to Pete Townshend, nuances of the law in financial data regulations, especially in Europe, could become the most challenging aspect of compliance
Know Your Customers? Or Protect Their Privacy?
KYC/AML requirements conflict with other regulations aimed at limiting how much data firms mine for fulfilling those disclosure rules. Joanna Wright reports
How to Succeed at Knowing Your Customer
Australian market's new platform sets an example for management of key data for anti-money laundering efforts. Wei-Shen Wong reports.
Wipro Targets Buy-Side Market Share with ReconX
Wipro's ReconX platform uses machine learning to identify patterns and spot errors.