Compliance
Coronavirus Crisis Highlights Need for More Informed Risk Calculations
Calculating risk sensitivities—the main point of FRTB—took on new importance as the markets dropped amid the Covid-19 global pandemic.
Aegon Asset Management Partners with ACA Compliance for Surveillance
The firm is using ACA's Decryptex to identify fraudulent trading behavior.
FCA and BoE: Evaluate Your Third Parties
Consultation on new rules is set to close on April 3, but regulators are reviewing deadlines as firms are under pressure due to the coronavirus.
People Moves: R3, Hazeltree, PJ Solomon, PEAK6, Algo-Logic and StarCompliance
A look at some of the key "people moves" from this week, including Kevin O’Connor of Algo-Logic (pictured).
People Moves: Capitolis, State Street, BTON Financial and DTCC
A look at some of the key 'people moves' from this week.
New Platform Eases Analyst–Trader Communications Compliance
Client Instant Access’s Omnigage allows compliance officers to approve communications content.
Swap Data Proposals Raise Existential Questions
Regulators around the world collect massive amounts of data, but Jo wonders if there’s any point to these efforts if they can’t use it?
LEI on the Edge: What Needs to Happen for Wider Adoption?
The financial industry is losing faith in the LEI initiative as regulatory mandates remain patchy, but some see hope in SFTR’s unique-issuer LEI. By Mariella Reason
People Moves: Archax, Broadridge, FCA, Qontigo, and TruNarrative
A look at some of the key "people moves" from the past week.
Vendors Feel Heat as Regulators Pile Pressure on Third-Party Resiliency
UK regulators have proposed new laws to clamp down on operational resilience and third-party risk, pushing fintechs to put some skin in the game.
Rimes Wards off Sale Speculation with Investment from EQT
A sale was originally reported, but this PE investment will allow the firm to grow its ESG, ETF offering while considering a sale at a later time.
TRG Screen Integrates PEAR Policy Database After Axon Acquisition
The integration of PEAR, acquired last year, is a further step towards integrating the vendor's key data inventory management platforms, FITS and InfoMatch.
DNB Bank Advances on 3-Year Big Data, Data Science Initiative
The bank is rounding out the second year in its three-year plan, which includes more than 100 new data roles.
SteelEye to Monitor Social Media for Trade Reconstruction
Compliance vendor says upcoming automatic trade reconstruction will slash processing times and allow users to monitor news feeds to detect insider trading.
ICE Looks to Bolster ESG Service as Investors Grapple with Lack of Standards
ICE Data Services says investors can access its reference data subscription later this year to build out their ESG strategies.
Oracle Leverages Deep Learning To Detect Financial Crime
Oracle is using deep learning to find matching patterns for graph analytics within its compliance platform.
Nasdaq Updates Surveillance Offering to Build Trader Profiles to Catch Spoofing
The company is combining different data sources to help users spot market abuse and manipulation.
As Public Cloud Gains Traction, Concerns & Challenges Grow
WatersTechnology looks at more than 20 cloud-based projects and initiatives to see how banks, asset managers and vendors are embracing public providers, and the inherent problems involved.
Machine Learning Takes Hold in the Capital Markets: Some Examples
WatersTechnology looks at 16 projects in the capital markets that involve machine learning to show where the industry is heading.
People Moves: Refinitiv, State Street, DTCC, Liquidnet & More
A look at some the key "people moves" from last week, including Mike Hill (pictured), who joins Compliance.ai.
Due North: Inside TMX Group's Bold Data Audit Overhaul
Toronto's TMX Group is looking to revolutionize the way that it conducts data audits with users. While the early feedback is positive, will others follow suit?
Nasdaq's Lessons in Machine Learning Yield New Surveillance Tool
The offering, which took more than a year to build, combines deep, transfer and human-in-the-loop loop learning to find patterns.
Banks Join Forces on Model Development Utility
Crisil is working with HSBC and three other banks on a platform to share model-building tools.