Raymond James is using Red Deer's Mifid II solution to help manage research consumption.
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,…
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…
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.
AFTAs 2017: Most Innovative Third-Party Technology Vendor—Risk, Compliance and Reporting—Imagine Software
The hallmark of a truly innovative technology vendor is its ability to rapidly respond to changes in the market and address its clients’ demands by developing and delivering a new solution that provides exactly what is required of it. New York-based…
The best partnership or alliance category at the 2017 AFTAs goes to Thomson Reuters and Symphony Communications. Through the partnership, Thomson Reuters’ Eikon, the firm’s open financial markets desktop platform, is now integrated within Symphony, the…
AI is experiencing a renaissance, but some are concerned that it could carry hidden risks.
Software vendor hires industry veteran Philip Filleul as sales engineer.
Reporting platform began rejecting trade reports due to mismatched identifiers, banks say.
Implementing a new research tracking and valuation workflow based on Visible Alpha's tools will enable the firm to get better results from research relationships, as well as comply with Mifid II.
Market participants say much remains to be done as Europe debuts new rules.
Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.
Finra says Citi's inaccurate ratings led to numerous porblems for portfolio manager clients and retail investors.
The UK-based fund manager selected the OTCFin-Morningstar joint service following a "rigorous" selection process and proof-of-concept, officials say.
John takes a look at some of 2017's key trends, including regulation, cybersecurity and artificial intelligence.
The fintech "revolution" of the past few years is looking less like it will displace traditional finance, and more like it will join it.
Technology such as AI and machine learning can help compliance officers catch fraud, but more transparency, education and stronger data is needed, experts say.
Chat tools are being embraced again as the industry seeks more efficiency in the workflow.
Europe’s top markets cop talks to Waters about Mifid II and III, Brexit, no-action letters, clearinghouses and the regulator’s future.
APA Connectivity is a new solution from Thomson Reuters designed to help firms comply with Mifid II trade reporting requirements.
Banks are increasingly adopting new machine learning techniques for compliance and surveillance, but should be wary of setting expectations too high.
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…
Participants refuse to say whether reporting will begin as scheduled after a last-ditch delay effort was rejected by the SEC.
London-based NEX Regulatory Reporting plans to become an SFTR trade repository ahead of a dedicated reporting solution.