Reporting platforms told by regulator to substantially improve quality of publicly reported data.
Compliance officers say they are increasingly looking at AI-powered tools to help with things like surveillance, reporting and fraud monitoring.
Regulation is the key to weeding out bad actors in the cryptocurrency and blockchain spaces, bank expert says.
While Mifid II still has some serious challenges for firms to contend with, one part of Europe believes it has a solution to some of the cultural--if not the practical--issues of the still-fresh regulatory regime.
Traders say Mifid II transparency is failing partly as a result of questionable practices by trading venues and APAs, which publish pre- and post-trade data, and that the data is not always available to the public for free as the law requires
Cboe's CIO joins the podcast to discuss the exchange's tech migrations after the Bats acquisition, and Anthony and James give a primer on GDPR.
Common business practices among Nordic coutries may mean the region is better placed to handle the data management aspects of new regulations.
AxiomSL launched its new cloud solution for material nonpublic information for regulatory and risk reporting to make it easier for clients to access information.
Agency will step in and act where required, but the lion’s share of responsibility falls to venues.
Long-term views and collaboration, rather than flashy tech, is the key to a successful program of compliance, panelists at BST Europe say.
The solution will be integrated into Axioma's end-to-end regulatory reporting platform.
Linedata's Dave Remy and Chris Condron discuss all things CQRS and James Rundle goes over some of the big news breaking in the crypto space.
With less than a month to go until the SGX lists its new India derivative products, anything can happen. All eyes are on India’s regulator, Sebi, as well as the country’s three exchanges, to see what action—if any at all—they will take.
James and Anthony look at the main issues around CCP non-default losses, who should be responsible for these funds, and where this is all heading.
The revised Markets in Financial Information Directive (Mifid II) went into effect at the start of 2018 and, as with any significant regulation go-live, there were some hiccups. Three months later, there are still gaps that need to be filled –…
While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…
The collaboration will be geared toward developing services that employ both AI and ML techniques to spot fraud, while helping banks with their development roadmaps.
A higher budget, on the other hand, could bring in extra staff to monitor clearinghouses and fraud manipulation in crypto markets, says CFTC commissioner Quintenz.
Financial institutions in Singapore have 24 months to be fully compliant with the Monetary Authority of Singapore’s revised notices 610 and 1003 for collecting trade data—though details of some asset classes will be released later, as the industry…
The upcoming FRTB market risk framework allows financial firms to take different approaches to non-modelable risk factors: either capitalize risk factors that lack observable pricing in-house, or use a vendor-run data pooling utility. But, as Dan…
With Mifid II's deadline in the rear-view mirror, Hamad Ali gives a "State of the Union" for the fixed-income market and electronic trading platforms.
Platform gives greater transparency for compliance with unbundling requirements under European rules.
Good data governance plans will be key to compliance with new sweeping legislative changes from the SEC. But for those who haven’t established effective data governance practices—and even for many who have—the changes could prove a steep and arduous…
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.