Keen to trim the resources they expend on interpreting licenses, investment firms are exploring how they can turn data agreements into machine-readable code. Doing so is fraught with challenges.
The regulator is consulting on outsourcing contract guidance that would give firms and supervisors access to the books and premises of providers.
This is a difficult time for most businesses, but start-ups are particularly vulnerable as they struggle to manage cash flow.
ICE Data Services says investors can access its reference data subscription later this year to build out their ESG strategies.
The bank is in the throes of a hefty transformation project within its Investor Services division, which began with machine-learning efforts last year.
These specialists are touting services for monitoring third parties amid tougher rules on outsourcing risk.
The technology giant is carrying out pilots on an Azure-based service for the SEC's CAT that will be ready for use within six weeks.
While no one involved in the building of the stalled Consolidated Audit Trail is free from blame, Anthony says there are reasons to believe the CAT won’t ever materialize, regardless of the plan processor.
Tech providers are emerging from all corners as the final phases of initial margin rules closes in, which are expected to capture over 1,000 buy-side and sell-side firms over the next 18 months.
The final phases of initial margin rules are expected to capture over the next two years more than 1,000 buy-side and sell-side firms, which technology providers see as potential customers.
The integrated offering will enable Nordic institutions to automate KYC and customer onboarding processes more effectively.
There were no major hiccups when the CAT was rolled-out to SROs on November 15 but it is still not ready for full industry implementation.
The Consolidated Audit Trail will begin receiving reports on November 15, a year after it was supposed to start.
Joint venture offers institutional investors the benefits of a high-speed centralized trading platform for cryptocurrency futures contracts.
IMD/IRD Awards 2018 Winners' Circle
Two firms are already live on the platform, with another three soon to be up and running.
The Australian Securities Exchange outlines key considerations for firms weighing up their choice of co-location facility.
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…
AlgoWheel will use machine learning to determine best method of execution.
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
Emerging technology could fall outside the regulatory perimeter, and could be impossible for outsiders to fully comprehend.
New functions aim to help audit professionals improve efficiency in the audit process.
Companies link workflows for execution and order management systems.
Electra answers the problem of managing huge amounts of data through its Electra Data solution.