Compliance
Mind the Governance Gap: Data Key to SEC Modernization Compliance
Good data governance plans will be key to compliance with new sweeping legislative changes from the SEC. But for those who haven’t established effective data governance practices—and even for many who have—the changes could prove a steep and arduous…
Half of Investment Firms Won’t Be Ready for GDPR
Survey finds over 50 percent of investment firms are unprepared for GDPR’s May 25 deadline, but financial services is still ahead of the game compared with other sectors.
Hong Kong Regulators Propose LEI Mandate
HKMA and SFC would stagger the implementation dates for different reporting entities.
Wary Brokers Sound Alarm on Mifid II's RTS 28
Brokers are concerned that reports on best execution, due in just a few days, may be too onerous to produce in full.
Encompass Partners with Wisers for Asia KYC Data
Local regulators encourage use of technology to streamline KYC and regulatory compliance.
Mosaic Looks to Outer Space for AI-Powered Surveillance
Partnership with European Space Agency will apply machine learning to financial markets.
Regnosys to Expand Reach with Bank, Regulatory Implementations
In addition to its work with Isda, the fintech startup also has projects in the works with ING Bank and the FCA.
Regulatory Interest in AI for Surveillance Increasing
Regulators are more engaged with meeting with fintech firms to understand how they can work with AI for compliance.
The Future of Blockchain-Based KYC Utilities
Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…
Tech Mahindra, Balbix Launch AI-Powered Cybersecurity Platform
The platform uses deep learning algorithms to monitor and map potential threats.
FCA to Prioritize Cybersecurity and Innovation amid Brexit
Watchdog releases its annual business plan for 2018 and 2019, with innovation and Brexit listed as clear points of focus.
Former Calastone Asia Head Joins UBS Asset Management
Sebastien Chaker will lead the Asia expansion of UBS’ wholesale funds platform.
FCA Extends Oversight of UK Asset Management Sector
Regulator sets new obligations for senior managers and focuses on investor costs.
Saxo Bank Launches SaxoTraderPro
Danish bank targets active traders and institutional clients with latest platform.
Encompass Opens in Hong Kong to Support Growth in Asia
Hong Kong, China, Singapore and Japan driving demand for automated KYC solutions.
March 2018: Regulatory Watchdogs Show Their Teeth
After some questioned ESMA's resolve, the regulator is stepping up its enforcement efforts. Max reviews how ESMA wants market participants to know that its bite can be worse than its bark.
Esma Probes APAs Amid Mifid Trade Data Issues
Approved Publication Arrangements—a critical component in the new Mifid II European markets regulation—may be falling short of their requirements under the new transparency rules, and have drawn Esma’s attention. By Samuel Wilkes, with additional…
Risk Focus Bows Advisory Services
Formal launch of Regulatory Reporting Advisory service, while Apix is chosen to power Xignite’s CloudAddin.
Trading Technologies Plots Evolution Away from Screens
Chicago vendor touts move away from screens—sort of—and into infrastructure and analytics.
Deep Systems to Launch Indigo for Cross-Asset Crypto Trading
Firm’s technology will allow trading in spot, futures, options, and eventually equity instruments for cryptocurrencies.
Arachnys and Quantexa Partner for KYC
The two firms will integrate their platforms to help automate the identification of gaps in customer information.
Leumi ABL Selects Encompass to Support KYC
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
IPC and GreenKey Partner for Speech-to-Text Conversion
IPC will provide audio streams to GreenKey and convert it to useable data.
SEC Releases Updated Cybersecurity Guidance
The regulator added new guidance around cybersecurity disclosure controls and insider trading.