Compliance
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,…
AFTAs 2017: Best IT Integration Initiative—Cowen
When Cowen announced that it was acquiring Convergex in April 2017, it was looking for a swift close to the deal—in just three months, the agency broker would become a full part of its new parent, renamed and rebadged to reflect that change. For CIO Ann…
2017 AFTAs Winners' Circle: Imagine Software
After winning the coveted vendor innovation category for risk, compliance and reporting at this year’s AFTAs, James Rundle sits down with Imagine Software’s CEO, Lance Smith, to talk about risk, regulation, and what’s coming up in 2018.
AFTAs 2017: Most Innovative Third-Party Technology Vendor—Risk, Compliance and Reporting—Imagine Software
The hallmark of a truly innovative technology vendor is its ability to rapidly respond to changes in the market and address its clients’ demands by developing and delivering a new solution that provides exactly what is required of it. New York-based…
AFTAs 2017: Best Partnership or Alliance—Thomson Reuters and Symphony Communications
The best partnership or alliance category at the 2017 AFTAs goes to Thomson Reuters and Symphony Communications. Through the partnership, Thomson Reuters’ Eikon, the firm’s open financial markets desktop platform, is now integrated within Symphony, the…
Artificial Intelligence: From Winter to Spring
AI is experiencing a renaissance, but some are concerned that it could carry hidden risks.
Pendo Systems Selects Filleul as Sales Engineer
Software vendor hires industry veteran Philip Filleul as sales engineer.
Tradeweb APA Bug Mires Mifir Reporting
Reporting platform began rejecting trade reports due to mismatched identifiers, banks say.
Metzler AM Taps Visible Alpha for Mifid II Research Compliance
Implementing a new research tracking and valuation workflow based on Visible Alpha's tools will enable the firm to get better results from research relationships, as well as comply with Mifid II.
As Mifid II Debuts, Full Compliance Remains Elusive
Market participants say much remains to be done as Europe debuts new rules.
What to Do About Mifid II
Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.
Citi Pays $11.5M in Finra Fines and Compensation for Ratings Failings
Finra says Citi's inaccurate ratings led to numerous porblems for portfolio manager clients and retail investors.
Way Fund Managers Taps OTCFin-Morningstar Combo for Priips Compliance
The UK-based fund manager selected the OTCFin-Morningstar joint service following a "rigorous" selection process and proof-of-concept, officials say.
Best of 2017: The Top Trends
John takes a look at some of 2017's key trends, including regulation, cybersecurity and artificial intelligence.
The Great Fintech Con(version)
The fintech "revolution" of the past few years is looking less like it will displace traditional finance, and more like it will join it.
Compliance Officers Face Challenges in Understanding AI
Technology such as AI and machine learning can help compliance officers catch fraud, but more transparency, education and stronger data is needed, experts say.
After Scandals, Banks Release Chat Back into the Wild
Chat tools are being embraced again as the industry seeks more efficiency in the workflow.
Mifid's Architect: Esma Chair Steven Maijoor
Europe’s top markets cop talks to Waters about Mifid II and III, Brexit, no-action letters, clearinghouses and the regulator’s future.
Thomson Reuters Unveils APA Solution for Mifid II
APA Connectivity is a new solution from Thomson Reuters designed to help firms comply with Mifid II trade reporting requirements.
Cognitive Computing Advances Driving Surveillance for Banks, Expectations for Regulators
Banks are increasingly adopting new machine learning techniques for compliance and surveillance, but should be wary of setting expectations too high.
Out with the Old: Australia’s APRA Takes Aim at EFS Data
The Australian Prudential Regulation Authority is overhauling its core regulatory reporting requirements, which includes the modernization of the Economic and Financial Statistics data submissions required from Australian banks and various other…
Industry Tight-Lipped on CAT Status as Deadline Hits
Participants refuse to say whether reporting will begin as scheduled after a last-ditch delay effort was rejected by the SEC.