Compliance
Industry Still at Odds Over Use Case for an EU Consolidated Tape
Market participants say they want a high-quality, centralized source of market data for EU equities. But who and what is it actually for?
The M&A Market Heats Up (And Some Quantum Computing News)
What do Liquidnet and Trading Technologies (and others) have in common? Anthony explains. He also discusses advancement—and disillusionment—in the quantum space.
This Week: State Street/Simcorp, Bloomberg, ACA, Broadridge & More
A look at some of the past week’s financial technology news.
This Week: ASIC/RBA, TSE, Schroders/SteelEye, HKEx, Talos, and more
A look at some of the past week’s financial technology news.
People Moves: DTCC, State Street, Xoriant, Esma, Atomyze, Canoe Intelligence, BCS
A look at some of the key "people moves" from this week, including Lisa Hershey (pictured) who has been appointed managing director and chief compliance officer at the Depository Trust & Clearing Corporation (DTCC).
This Week: MEMX, IUAM/SS&C, Northern Trust, EBS and BME
A summary of some of the past week’s financial technology news.
OTC Markets Unveils ‘Blue Sky’ Compliance Dataset for OTC Securities
The dataset is part of an ongoing initiative by the OTC marketplace to gain state-by-state exemptions to allow brokers and issuers to conduct business in OTC securities.
Isda 'Create' Marks Important First Step Toward Smart Contracts
WatersTechnology goes inside Isda Create to see how the organization is aiming to bridge the gap between the worlds of paper contracts and legal data.
ACA Compliance to Make Flagship Platform More Customizable
ComplianceAlpha is a compliance and risk management platform that also provides trade surveillance and cybersecurity capabilities.
Eventus Systems to Add ML-Driven Trader Profile Feature to Validus
The new functionality will help to give context to market manipulation alerts.
Unintended Consequences & AI Regulation (And Mobile Trading Reg & BERT NLP)
Due to the pandemic and rapid advancements in the fields of AI and mobile technology, regulators in the US and Europe have unique challenges on their hands.
This Week: Northern Trust, HKEX, Digital Asset, SimCorp, and more
A summary of some of the past week’s financial technology news.
SteelEye Unveils Tool to Slash Trade Reconstruction Timeframes
Officials say the new product will enable firms to aggregate and correlate the data required to fulfill trade reconstruction obligations within seconds.
Covid Could Cause US Regulators to Rethink Surveillance
Not having specific requirements and procedures for firms to refer to ended up putting some funds in a tough place during the pandemic’s early days.
AlternativeSoft to Roll Out Automated Hedge Fund Due Diligence Tool in Q4
Earlier this year the vendor added an automated hedge fund performance evaluation tool to its suite of solutions.
Moonshots Shelved: Banks Spend on Home-Working Tech
Senior technologists from UBS, Deutsche Bank, Nomura, SocGen and others discuss where their tech spend is being directed.
People Moves: BME, Qontigo, OTC Link, Finastra
A look at some of the key "people moves" from this week, including Jos Dijsselhof (pictured) who has been appointed chairman at BME.
Silent Eight Preps Transaction Monitoring Tool
The firm is testing the tool with a few clients before making it available to a broader audience.
Buy-side Firms Reject EMS Brokerage Charges
Some users favor a licence fee over per-trade charging—and have forced vendors to make the switch.
TradingScreen Continues OMS Expansion on the Buy Side
Vendor firm will release enhancements to allocation, pre-trade compliance, and reporting and analytics in September.
Citycom Employs Facial, Object Recognition for Covid Remote Working Security Checks
The new solution can give firms insight into the activities, performance, and health of employees working from home during the Covid-19 outbreak, to monitor for potential risk factors and security breaches.
Deutsche Börse to Exit Regulatory Reporting Business
Sources say a pricing war and cost pressures are causing service providers to reconsider their regulatory reporting businesses.
Symphony Builds Connections to Text Message Services
Users are also able to onboard customers and interact with them on WhatsApp through the secure messaging platform.