Compliance
Is market data compliance too complex for AI?
The IMD Wrap: Reb looks at two recent studies and an article by CJC, which cast doubt on AI’s ability to manage complexity.
Sell-Side Technology Awards 2025 winner’s interview—S&P Global Market Intelligence Cappitech
S&P Global Market Intelligence’s enduring success in the Best sell-side compliance product category
Texting trials, or ‘The case of the costly Cubans’
The IMD Wrap: This week, featuring my colleagues as guest stars, I put myself in the shoes of a communications compliance officer at an asset manager, and look at what happens when messages go awry.
AI’s next gig: The rising cost of off-channel communications compliance
As the cost of analyzing communications increases, what tools can firms deploy to save time and money while avoiding penalties?
Technical and regulatory questions surround Europe’s T+1 move
The EU roadmap mirrors the UK’s goal of an October 2027 move. With more than two years to prepare, firms must consider how to implement the non-prescriptive guidelines and weigh where to automate.
GenAI too risky for collateral processes
The technology has been heralded as game-changing for other areas of finance, but its potential to hallucinate may disqualify it from sensitive settlement procedures.
Numerix strikes Hundsun deal as China pushes domestic tech
The homegrown tech initiative—‘Xinchuang’—is a new challenge for foreign vendors.
SEC pulls rulemaking proposals in bid for course correction
The regulator withdrew 14 Gensler-era proposals, including the controversial predictive data analytics proposal.
Mastering regulatory compliance through reliable data access
Firms continue to struggle with regulatory updates and sourcing accurate data
Trading venues seen as easiest targets for Esma supervision
Platforms do not pose systemic risks for member states and are already subject to consistent rules.
Symphony introduces Cloud9 mobile app
The messaging and collaboration platform is extending the “turret-like” technology and connectivity of Cloud9 to smartphones.
Exchanges plead with SEC to trim CAT reporting requirements
Letters from Cboe, Nasdaq and NYSE ask that the new Atkins administration reduce the amount of data required for the Consolidated Audit Trail, and scrap options data collection entirely.
Europe is counting its vendors—and souring on US tech
Under DORA, every financial company with business in the EU must report use of their critical vendors. Deadlines vary, but the message doesn’t: The EU is taking stock of technology dependencies, especially upon US providers.
The European T+1 effect on Asia
T+1 is coming in Europe, and Asian firms should assess impacts and begin preparations now, says the DTCC’s Val Wotton.
‘Barcodes’ for market data and how they’ll revolutionize contract compliance
The IMD Wrap: Several recent initiatives could ease arduous data audit and reporting processes. But they need buy-in from all parties if all parties are to benefit.
Asset manager Fortlake turns to AI data mapping for derivatives reporting
The firm also intends to streamline the data it sends to its administrator and establish a centralized database with the help of Fait Solutions.
How to navigate regional nuances that complicate T+1 in Europe
European and UK firms face unique challenges in moving to T+1 settlement, writes Broadridge’s Carl Bennett, and they will need to follow a series of steps to ensure successful adoption by 2027.
Waters Wavelength Ep. 304: Nice Actimize’s Lee Garf
Lee joins to discuss changes in communication platforms over the last few years.
From frozen assets to fire sales: The datasets to prevent your investments going up in smoke
The IMD Wrap: As severe weather conditions become more commonplace, Max wonders which datasets will prove most useful for those navigating a changing world.
Symphony looks to cloud, AI for enhanced trader voice
The communication and collaboration platform provider is utilizing modern technology to grow its network of services and users.
J&J debuts AI data contracts management tool
J&J’s new GARD service will use AI to help data pros query data contracts and license agreements.