The data taxonomy model could ease regulatory compliance pain for securities firms in Japan.
RTS 27 Now helps banks registered as SIs meet their reporting requirements under Mifid II.
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DLT providers are obliged to satisfy nine principles and pay an annual fee to comply with the regulatory framework.
The Senior Managers Regime and #MeToo campaigns are making banks increasingly conscious of employee conduct
The implementation of Mifid II in January 2018, along with the existing Market Abuse Regulation (MAR) introduced new responsibilities and obligations for market participants
The Commission says it is open to providing leeway to broker-dealers if the CAT cannot accept some trade data.
The data will support Trax’s MiFID II and SI determination service, which indicates a firm’s potential to become an SI before the assessment period.
New rules replace voluntary arrangements in ETFs and Nordic bonds, fragmenting post-trade data.
While waiting for the regulators’ final word on SFTR’s technical specifications, SFT market participants and counterparties are planning their compliance strategies amid concern that the regulation goes too far in its goal to bring shadow banking into…
EC likeliness to finalize standards in the coming weeks refocuses the spotlight on SFTR and what technology is available to help firms comply.
Half of the systematic internalizer obligations will soon become compulsory.
BeQuant offers access to liquidity of more than $150 million with a focus on compliance.
The story of how the double volume cap began is just as important as what's happened in 2018.
Independent research provider Smartkarma and corporate access provider CorpXSasia plan to create larger corporate access events together.
SFTR compliance could require five times as many reports than trades.
The move by Germany's largest bank is being seen as an outcome of Brexit uncertainty
Waters takes an in-depth look at the tie-up between two Boston giants, and examines who could be next in the latest phase of OMS provider consolidation.
There’s still a lot more to talk about when it comes to the order management system and bitcoin exchange-traded fund spaces.
New module provides researched legal entity data for AnaCredit counterparty data compliance.
CompliancePoint's Greg Sparrow advises financial firms how to avoid hefty fines resulting from GDPR non-compliance.
Buy-side users of research platform are now able to book analyst meetings and conduct them with full audit trail.
A new application to list a bitcoin ETF has reignited the debate over these products, but traders say the solution is far from easy.
Anthony and James take a look at the interdealer broker space and quickly hit on whether or not bitcoin ETFs are to come in the near future.