Compliance

AFTAs 2017: Best Reporting Initiative—State Street Corporation

From June 2018, the largest registered investment companies—those with net-asset values of over $1 billion—will be required to comply with the US Securities and Exchange Commission’s (SEC) Investment Company Reporting Modernization Rule. Existing forms,…

AFTAs 2017: Best IT Integration Initiative—Cowen

When Cowen announced that it was acquiring Convergex in April 2017, it was looking for a swift close to the deal—in just three months, the agency broker would become a full part of its new parent, renamed and rebadged to reflect that change. For CIO Ann…

2017 AFTAs Winners' Circle: Imagine Software

After winning the coveted vendor innovation category for risk, compliance and reporting at this year’s AFTAs, James Rundle sits down with Imagine Software’s CEO, Lance Smith, to talk about risk, regulation, and what’s coming up in 2018.

What to Do About Mifid II

Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.

Best of 2017: The Top Trends

John takes a look at some of 2017's key trends, including regulation, cybersecurity and artificial intelligence.

The Great Fintech Con(version)

The fintech "revolution" of the past few years is looking less like it will displace traditional finance, and more like it will join it.

Out with the Old: Australia’s APRA Takes Aim at EFS Data

The Australian Prudential Regulation Authority is overhauling its core regulatory reporting requirements, which includes the modernization of the Economic and Financial Statistics data submissions required from Australian banks and various other…

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