Compliance
NAFIS 2014: ‘Compliance Consumer' is Drain on Data Resources, Users Say
End-user firms are feeling the pressure of not just complying with new regulations, but also of meeting the data management burden to support compliance, making experienced market data staff and business analysts ever-more valuable, said panelists at…
Kinetix Adds New Regs Support to Data Compliance Tool
Princeton, NJ-based trading technology provider Kinetix Trading Solutions has added support for new regulations to the Pre-Trade Verification module of its Monaco trading platform, which combines market data with trading firms' databases of counterparty…
FTSE Urges EOD Index Data Compliance
London Stock Exchange-owned index provider FTSE has asked customers of its end-of-day index data to review their usage to ensure they are properly licensed, as part of continued efforts to promote transparency and compliance across its products and…
Market Surveillance special report
December 2013 - sponsored by: Apama, Nasdaq OMX, Nice Actimize
Options Builds Hosted Feed Reporting Platform
Managed infrastructure and private cloud provider Options (formerly Options IT) has developed a hosted reporting and entitlements platform to help the vendor and its clients report data consumption in compliance with exchanges' reporting policies, while…
Cymba Unveils Standalone Centurion Compliance Platform
London-based Cymba Technologies, a provider of technology and services to the traditional asset management and hedge fund communities, has launched Centurion, a standalone pre- and post-trade compliance engine that was, until now, only available as a…
Anova Adds Intelligent Alerting Functionality for Decision-Making, Compliance
Surbiton, UK-based DST Global Solutions, a provider of investment management technology and services, has unveiled what it has dubbed “intelligent alerts” functionality within its Anova data management platform.
Risk & Compliance special report
September 2012 - sponsored by: FTEN, a Nasdaq OMX company, NICE Actmize, SIX Financial Information
Thomson Reuters Launches Eikon for Compliance Management
Product allows for fast access to regulatory data and content.
ESMA Emphasizes Compliance Under Mifid
European regulator labels compliance function as critical to a firm's operation and mandates resource allocation.
StarCompliance Taps News Impact Scores for Insider Trading Tool
Compliance software vendor will use news provider's impact analysis to monitor trading activity against market-moving news events.
Wells Fargo Targets Contracts, Compliance
Steve Listhaus, head of market data services at Wells Fargo, outlines the bank's new efforts around negotiating contracts for data services, and market data compliance.
Big Brother Is Watching: Compliance Envelops the Business
As regulatory reform and an enhanced level of scrutiny falls on practices within investment banks, compliance departments are finding themselves increasingly involved with all areas of a business. In this era of a more proactive approach to oversight,…
Keeping Up with Compliance
The ways in which technology is breaking down traditional roles.
Thomson Reuters Debuts Accelus Compliance Manager
Solution helps to navigate regulatory complexity.
JCV Lets Web-Based ‘Genie’ Audit Tool Out of Bottle
Audit specialist debuts web tool for exchanges to reconcile declarations and reports to support remote audits
OneChicago Seeks SEF Equivalency
OneChicago CEO David Downey has been lobbying hard for his exchange to be considered virtually the equivalent of a swap execution facility.
Risk & Compliance special report
September 2011 - sponsored by: NICE Actimize, Lab49, Sybase, Ullink
