Regulation
Copenhagen Reg Roadshow Panels: Know Your Data for Licensing, Storage to Avoid Compliance Issues
To tackle regulatory data requirements, firms must first fully understand their data usage.
Don't Hold Your Breath on T+2 Arriving in 2017
The US market will eventually move to T+2 but Anthony says that that happening by Q3 2017 is ambitious.
Wider Monitoring Key as Finra Doubles Down on Suitability
A bevy of new products are now in focus as Finra's latest examination priorities once again highlight suitability.
DTCC's John Abel Chats About T+2 ISC's Proposed Timeline for T+2 Shift
Abel gives his thoughts on the release of T+2 ISC's white paper and the proposed timeline.
OTC Derivatives Regulation: Sorting Out The Processes -- Webcast
Archive recording of a June 18 webcast covering OTC derivatives regulation and its effect on data processes
T+2 ISC Announces Proposed Timeline for T+2 Shift in US, Sets Q3 2017 Goal
Committee releases white paper that outlines timeline and requirements necessary for shift to T+2.
'40 Act Compliance in Focus as Funds Introduce New Liquid Alts
Flexible reporting tools required as regulators consider further oversight.
StatPro Releases Solution for Australian Pension Funds
StatPro Revolution calculates the standard risk measure value for funds using a forward-looking methodology.
The Regulatory Horse Race
Anthony looks to equate horse racing to regulatory oversight.
DTCC Taps Risk Focus for ESMA Level 2 Rules Coverage
DTCC will use Validate.Trade engine internally for its pre-UAT testing for its Global Trade Repository service.
AcadiaSoft Aims at Looming Margin Rules with MarginSphere 2 Rollout
The new rules go into effect on September 1, 2016.
NRI Offers Japanese Banks Data Management Framework for BCBS 239 Compliance
NRI is partnering with EDM Council to help Japanese firms meet the risk data aggregation requirements of the Basel Committee's guidelines.
SEC Proposed Rule to Modernize, Extend Systemic Risk Reporting for Mutual Funds
Two new forms, Form N-Port and N-Cen, are at the heart of a new set of rules proposed by the SEC.
ESMA Hammering Out Liquidity Calculations
European regulators considering how to classify non-equity instruments
SEC 15b9-1: Shots Across the Bow
Finra registration could push some options HFTs to the brink.
Tip of the Iceberg: The Challenges of BCBS 239
Dan DeFrancesco talks to experts about banks' progress toward meeting BCBS 239 guidelines.
Swift Expands KYC Registry
Correspondent bank service will now also address funds distribution, custody services
NRS Releases Module to Address Finra Rule 4530 on Customer Complaints
ComplianceMax (cMax) Customer Complaints Module manages, utilizes and archives info on customer complaints.
Deutsche Bank Pegged With $55 Million Fine by SEC
The SEC says Deutsche inflated the value of a portfolio of derivatives by $1.5-$3.3 bn.
ICAP Energy Selects Abide Financial for Remit Reporting
Broker's clients can delegate regulatory reporting through platform
LEI Implementations Lead to Big Benefits for All
As more companies adopt LEIs, the benefits to the financial community are growing more apparent. Two Tier-1 bank employees discuss the process of bringing on new LEIs and the value they bring to the industry.
GLEIF Readies Free LEI Data Download
File service will not require payment or registration, LEI infrastructure executive says
ESMA Board Member: Capital Market Union Shouldn't 'Reinvent the Wheel'
Konstantinos Botopoulos speaks at the 2015 Buy-Side Technology European Summit in London.
Risk Data Preparedness Low, But Rising, Survey Finds
Deloitte Global research sees increasing challenges, but more effectiveness on risk infrastructure