The Technology Advisory Committee didn't have much to say about Reg AT as commissioners Quintenz and Behnam appear to disagree on how to proceed.
Blockchain consortium exec says agencies should be doing more with fintech firms.
AxiomSL has convened an industry group to help devise a taxonomy that will simplify compliance reporting for the revised Monetary Authority of Singapore 601 update.
The Association of Investment Companies CEO says an FCA statement on Key Information Documents attached to Priips helps, but does not solve, the KIDs’ fundamental problem with overly optimistic projections.
UK regulator provides effective "how-to" guide for compliance.
This is an early-adoption example of an OEMS being coupled with tools on a live blockchain.
January 3 went smoothly for many, but the launch of Europe's far-reaching reform package wasn't without problems.
According to one estimate, the global bitcoin network will require more electricity than what is required to power the entire US by July 2019.
NEX Regulatory Reporting partners with Delta Capita to offer SFTR compliance service.
Despite a few teething problems, Victor says Mifid II, which took effect on January 3 this year, is a net positive for the capital markets.
A November 2017 survey of fund managers found client reporting was their biggest concern in the lead-up to Mifid II, and it remains so in the weeks following the regulation’s entry into force.
With the second Markets in Financial Instruments Directive now in effect, firms are still adapting to the new requirements and their long-term implications. Richard Bentley, chief product officer at Ullink, explores how the industry can remain compliant…
When the Consolidated Audit Trail failed to go live in November last year, questions came as to why—but answers were not easy to come by.
The product is designed to help simplify the process of navigating third-party risk in other countries.
Exchange says it will not look to increase volumes at the cost of additional risk as participants question listing process.
UK regulator appoints Nausicaa Delfas executive director of international, while Esma replaces two outgoing board members.
The pairing was spurred on, in part, by the looming General Data Protection Rule, which is due to go into effect in Europe later this year.
Comyn has almost two decades of experience and was previously the head of CBA's retail bank.
Euromoney TradaData’s Forensyx service helps regulators investigate historical transaction reports.
Key Information Documents—mandatory under new regulations—are coming in for criticism. Jamie Hyman asks whether compliance managers might have to decide between obeying the letter and the spirit of the law.
From misleading risk indicators to unfair, unbalanced requirements, the head of the Association of Investment Companies talks to Jamie Hyman about the problems with rules around Key Information Documents, and why they are nearly impossible to solve.
Jamie Hyman talks with an LEI issuer, advocate and end-user about how Esma’s LEI grace period will impact operations during the first half of 2018.
Recent appointments at the US Securities and Exchange Commission have led some firms to believe regulators and policymakers will finally start to address what they believe to be opaque pricing structures for market data at exchanges. Joanne Faulkner…
Fund managers, vendors and trade associations release joint paper on making distributed-ledger technology work for the buy side.