Wavelength Podcast Episode 118: CAT ‘State of the Union’, RTS 27 & 28 Concerns, The ‘Big Tech’ Dilemma
Anthony and James discuss some of the big stories to come out of TradeTech Europe and then three legal experts look at how the SEC has been quiet about the CAT.
Speakers and attendees at TradeTech Europe called, with varying degrees of subtlety, for a relaxation of regulatory reform.
Tech giant has no immediate plans to enter the space outside of its role as a service provider, despite uneasy conference chatter.
Looking ahead to GDPR, ARMs and trading venues are developing ways to better protect the personal data they are required to collect, report and store under Mifid II, while investment firms tasked with providing personally identifiable information to the…
Users will have access to news and corporate data from Nikkei MM for KYC and AML compliance, and the ability to monitor their exposure to entities or individuals linked to the Yakuza.
Brokers are concerned that reports on best execution, due in just a few days, may be too onerous to produce in full.
Experts warn venue reports will be unreliable and effectively bereft of value for investors.
In addition to its work with Isda, the fintech startup also has projects in the works with ING Bank and the FCA.
Regulators are more engaged with meeting with fintech firms to understand how they can work with AI for compliance.
Increasingly sophisticated schemes are targeting firms and individuals, watchdogs say.
Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…
Product offers augmented regulatory tracking in first phase, will expand to track enforcement actions in the future.
Bickering between regulators rarely helps anything, but power plays involving CCPs are even less helpful.
Tie-up aims to deliver a comprehensive transaction reporting remediation solution.
Vendor expands RegFocus platform with surveillance capabilities designed to detect suspicious trading behavior.
The latest UK initiative aims to support emerging technologies and innovation for UK fintech sector.
Hong Kong, China, Singapore and Japan driving demand for automated KYC solutions.
After some questioned ESMA's resolve, the regulator is stepping up its enforcement efforts. Max reviews how ESMA wants market participants to know that its bite can be worse than its bark.
Approved Publication Arrangements—a critical component in the new Mifid II European markets regulation—may be falling short of their requirements under the new transparency rules, and have drawn Esma’s attention. By Samuel Wilkes, with additional…
The UK's fintech industry receives a major boost as it forms alliance with Australia and launches a new crypto asset task force.
WatersTechnology attended the Futures Industry Association's annual conference in Boca Raton, Florida. These are the takeaways.
The data gathering, retention and reporting requirements of Mifid II seem at odds with the enhanced personal data protection rules of the GDPR. But with careful consideration, financial institutions can balance their regulatory obligations under the two…
Esma has released the first figures to support Mifid II’s caps on the percentage of equities trading that can be transacted on dark pools. However, critics warn that although the delay has given Esma more time to validate data and clean up queries, the…
Visible Alpha is launching a research advisory board to guide its products and services development.