Regulation
Communication Key to Regulatory Influence, Gaining Better Support from Rule Makers
Opening the lines of communication is the answer to questions around effecting regulatory evolution and getting regulatory aid.
Firms' Public Cloud Concerns Based on Regulatory Interpretation, not Technology
Panelists discuss the biggest hurdles firms are facing when it comes to moving systems to the public cloud.
Regtech Start-Ups Are Focusing On Data Management, Investor Says
Early-stage businesses taking supportive rather than disruptive approach to compliance tasks
Waters Wavelength Podcast Episode 21: Toronto Information and Tech Summit, Fintech Regulation
Dan goes solo to talk about his trip to Toronto.
Hot Take Alert: Are Banks Tacitly Asking for More Regulation to Squeeze Out Smaller Competitors?
Rising regulations could end up helping big banks in the long term when it comes to their competiting with smaller firms.
Next Up for Regulators: Vendor Oversight
Jim Gilligan, the recently retired president and CEO at Blue Cross Life Canada, spoke at a WatersTechnology conference about the challenges large firms face while innovating.
Former Blue Cross Life Canada CEO: Regulatory Oversight Coming for Fintechs
Jim Gilligan, the recently retired president and CEO at Blue Cross Life Canada, spoke at a WatersTechnology conference about the challenges large firms face while innovating.
Golden Copy: MiFIR's Tallest Orders
Specific challenges for compliance with European market information rules become clearer
MiFIR Draws Closer
Identifiers, data centralization and data quality emerge as primary compliance concerns
GreenKey Taps OpenFin HTML5 Container
OpenFin's HTML5 container allows GreenKey's platform to support compliant voice and text communications from within a browser.
MiFID II: No Time to Waste on 'Wait And See'
Firms must take on data aggregation and consistency, says software company product strategy executive
Waters Wavelength Podcast Episode 20: CAT, Unbundling Research, June Features
Dan and Anthony talk about the June features.
CAT Concerns: The Biggest Hurdles Still Facing the Massive Audit Trail
What still lies ahead for the Consolidated Audit Trail?
Golden Copy: Wishing You a Solvent Summer
As summer begins, the effectiveness of Solvency II regulation will play out
Europe Unbundles Research and Execution
The unbundling of research and execution functions is one of the most widely anticipated and debated pieces of regulation amid the storm of measures introduced by the European Commission that will have a significant impact on how the buy side and sell…
Waters Wavelength Podcast Episode 19: BNP's Growth Plans, Buy Side KYC
Dan and Anthony talk about the custody business and KYC.
Henderson Tests Solvency II Templates
UK-based firm listening to customer feedback
Moving on Up: BNP Paribas Securities Services' Gallagher Talks Growth Goals, New Regulatory Positioning
The firm is looking to increase its position in custody services from fifth to fourth largest in the world.
Bloomberg Launches Entity Exchange to Help Buy Side Handle KYC, Onboarding Demands
Fortress Investment's David Sharpe says the platform helps to "establish relationships with new trading partners quickly and securely."
Case Study: HA&W Wealth Management Turns to BasisCode for Compliance
BasisCode Compliance, which launched a self-subscription service this week, is helping HA&W Wealth Management to more efficiently manage its compliance needs.
CBOE Makes Minority Investment in Eris Exchange, Announces Partnership
CBOE and Eris will develop product solutions aimed at Basell III and other swaps regulations.
Clocking the CAT
Firms will need to focus on their clocks when it comes time to start reporting to the CAT.
FXecosystem Taps Metamako Switch for Network Monitoring, MiFID 2 Compliance
The switch allows users to tap inbound and outbound message flows to perform various types of monitoring, and to meet regulatory transparency requirements.
Fenergo Expands In Middle East
Regulatory compliance software provider opens office in Abu Dhabi