Dodd-Frank Act
Kinetix's Rules Engine Obtains Legal Approval
Rules engine will continue to evolve as regulations change.
Product Launches in New Regions Cause Regulatory & Data Hurdles for Asset Managers
A recent survey produced by Linedata highlights some of the more pressing challenges facing asset managers in today's environment.
A Victory for Transparency
DTCC welcomes repeal of Dodd-Frank indemnification provisions
MiFIR Casts Ominous Shadow on European Horizon
MiFID II and MiFIR will subject investment firms to more stringent trade reporting requirements. Brian Collings outlines the impact.
FISD Updates FIA Data Certification Content
The new syllabus reflects industry changes since its rollout in 2012.
How Much is Your Client Really Costing?
Phil Sturmer looks at ways capital markets firms can cut operating costs by off-boarding non-active clients.
The Regulatory Horse Race
Anthony looks to equate horse racing to regulatory oversight.
Sell-Side Technology Awards 2015: Best Sell-Side Compliance Product ─ CounterpartyLink
CouterpartyLink wins the Sell-Side Technology Award for best compliance product for the first time.
Contrarian Views for Startups: Come Together, Over Regs?
Anthony also discusses five random news events.
Panelists: Don't Base Startup Investment on Regulation; Consortiums Don't Work
Industry members chat about the best route to implementing disruptive technology.
Operational Risk Groups Tackle Data Governance as Regulations Rise
Panel at OpRisk North America discusses how regulations like Basel have forced banks to take another look at their approach to data.
Anthony Malakian: Remember, the ETF Space is Still Evolving
The rise in popularity of fixed-income ETFs will continue, despite there being 'issues' that need to be addressed.
In Swaps Market, Industry Members Agree: Anonymity Rules
A TabbForum panel looked at anonymity in the swaps market.
CFTC Commissioner Giancarlo: Undo Swaps Categorization, Futurization
Giancarlo stresses improvements need to be made to CFTC regulations
The Big Deal with BYOD
The journey of BYOD policies in financial services
New SEC Rules Increase Transparency in Security-Based Swap Market
Reporting rules, guidance on security-based swap transaction proposed
ICE Takes Aim at ‘Disruptive Trading Practices'
The new rule goes into effect on Jan. 14, 2015
Top Stories of 2014: The Compliance Challenge
The best of our regulatory and compliance-focused coverage in 2014.
Fonetic Launches Multi-Trade Search and Reconstruction Tool
New addition will provide customizable filtering for compliance
NAFIS 2014 Live: Regulatory Landscape Challenges
Inside Reference Data editor Michael Shashoua reported live via Twitter on the first panel in the reference data stream of the North American Financial Information Summit on May 21
DTCC, Euroclear to Collaborate on Collateral Processing
The post-trade infrastructure providers plan to launch two utilities that will help users address increasing needs for collateral and more complex collateral processing due to regulatory change
Avox to Double Staff, Addressing Regulatory, Risk Demands
Plans to take on more than 200 new members of staff at Avox's headquarters in Wales have been driven by demand for the company's existing services, rather than specific plans to create new offerings
IPC, TeleWare Announce Mobile Compliance Alliance
Jersey City-based IPC Systems, a provider of trading communication technology, and T-Ware Connect, the North American arm of global call compliance technology provider TeleWare Group, have announced an alliance that will offer capital markets firms in…
Recommind Automates Extraction, Display of OTC Contract Data
Perceptiv Derivatives Contract Analysis is intended to replace the often manual processes used to extract data from over-the-counter derivatives contracts, so they can fully understand the agreements and comply with new regulations