Compliance
OTC Markets Unveils Compliance Analytics Data Service
The updated service provides additional data points and an analytics file that contains a score for ranking companies' risk.ics
Lemanik Asset Management Taps Linedata for Compliance Monitoring
Luxembourg asset manager deploys Linedata Compliance for UCITS and AIFM directives, but will manage its own reporting functions.
FINRA Fines BarCap $1.3M for Reporting ‘Failures'
The failures included missing or duplicate reports, and erroneous data for timestamps and execution quantities, among other data fields.
Replacing Legacy Technologies to Support Business Growth and Compliance
This Eagle Investment Systems-sponsored webcast focuses on the challenges facing buy-side firms when it comes to operating and supporting legacy applications.
Disclosure Tech Vendor Certent Buys Reporting Provider DisclosureNet
The acquisition will improve the reporting and filing process, while making it easier for clients to extract information from disclosures.
What is the Cost of Compliance in 2016?
Regtech, outsourcing and regulatory reporting are on executives' minds, says new report
MayStreet Bows DaaS Packet Capture, Data Processing
The cloud-based service allows clients to convert data from high-precision formats to those used for research and compliance.
Exegy Enlists ISE, ATSs for Managed Reg SCI Compliance Service
The service helps firms and market operators comply with resiliance requirements and processes relating to data technology infrastructures.
IPC Relaunch Focuses on Compliance, Connectivity
Trading network provider bows new identity following Etrali acquisition, three-pronged strategic focus incorporating compliance.
Deutsche Börse Mulls Trade Data Services to Support Client MiFID 2 Compliance
Some of the data collected by the exchange's new Regulatory Hub suite of reporting services could be used to create new datasets.
West Highland Tool Streamlines Vendor Change Notice Management
Data Notification Manager reduces the time taken to process and manage vendor change notices from hours to minutes, official say.
Diliger Adds Know-Your-Vendor Compliance Data to Procurement Platform
The additions to vendor surveys will help firms comply with vendor risk requirements.
KYC Data Utility Execs: ‘Convince Compliance’
Bank execs say concerns from their compliance departments are hampering their ability to leverage utilities.
Panel: EU Data Reg ‘Monster' Yet to be Tamed
Firms are struggling with competing demands from regulators.
Alacra Enhances Compliance Service
Updated suite of web services launched
Orc Taps OneTick Data Solution for Trade Regulation Compliance, Surveillance
The alliance will see Orc incorporate OneMarketData's OneTick tick data management solution into its offerings.
Algo Tech Vendor Horizon Debuts Data Replay Tool for Trading, BestEx
The replay feature will support strategy back-testing as well as demonstrating best execution.
Compliance Science Selects AIM Software for EDM
Governance platform chooses GAIN to manage securities master
BvD Launches Document Manager With Financials Data Streaming Functionality For BEPS Compliance
The Document Manager will streamline the BEPS reporting process
AxiomSL Announce New Head of EMEA Regulatory Analysis Team
Nicola Hortin joins AxiomSL's regulatory team after spells at JP Morgan and SECAM+.
EFIS 2015: Panel Weighs Cost vs. Value of Data
Managing costs, quality and compliance remains top of data consumers' agendas.
SEI Launches Compliance, Regulatory Risk Platform
Platform launched to tackle increasing cost and complexity of regulatory compliance.
S&P DJI Taps SIX Feed to Monitor Index Licensing Compliance
The SIX data will allow S&P DJI to track usage of its own indexes to create index-linked products.
Trillium Taps USAM for Surveyor Sales
The deal provides Trillium with experienced staff to manage the sales process for its Surveyor analysis and compliance tool.