Compliance
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.
Fintech Fever Grips M&A with Fidessa Acquisition Offer
Temenos looks set to snap up the London-based vendor with a billion-pound deal as 2018 becomes white-hot for mergers and acquisitions.
Fidessa and Temenos—A Bold Move
WatersTechnology's editor-in-chief on the proposed Temenos-Fidessa deal, CEOs-turned-cricket umpires, and fintech maturity.
UPDATE: AxiomSL Drives Industry Collaboration On Open Taxonomy for MAS 610
AxiomSL has convened an industry group to help devise a taxonomy that will simplify compliance reporting for the revised Monetary Authority of Singapore 601 update.
Europe’s Mifid Monster Lurches to Life
January 3 went smoothly for many, but the launch of Europe's far-reaching reform package wasn't without problems.
Client Reporting Remains Top Mifid II Implementation Challenge
A November 2017 survey of fund managers found client reporting was their biggest concern in the lead-up to Mifid II, and it remains so in the weeks following the regulation’s entry into force.
Mifid II and the Emergence of the Connectivity Hub
With the second Markets in Financial Instruments Directive now in effect, firms are still adapting to the new requirements and their long-term implications. Richard Bentley, chief product officer at Ullink, explores how the industry can remain compliant…
Opus Launches Anti-Corruption Platform
The product is designed to help simplify the process of navigating third-party risk in other countries.
Matt Comyn Named Commonwealth Bank of Australia's New CEO
Comyn has almost two decades of experience and was previously the head of CBA's retail bank.
TradeData Bows Historical Symbology Archive for Regulatory Analysis
Euromoney TradaData’s Forensyx service helps regulators investigate historical transaction reports.
Regulatory Compliance Lessons from The Merchant of Venice
Key Information Documents—mandatory under new regulations—are coming in for criticism. Jamie Hyman asks whether compliance managers might have to decide between obeying the letter and the spirit of the law.
Esma’s LEI Xmas Extension: Last-Minute Gift or Lump of Coal?
Jamie Hyman talks with an LEI issuer, advocate and end-user about how Esma’s LEI grace period will impact operations during the first half of 2018.
Raymond James Enlists Red Deer for Mifid II Research
Raymond James is using Red Deer's Mifid II solution to help manage research consumption.
AFTAs 2017: Best Reporting Initiative—State Street Corporation
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,…