Regulations
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.
AIC’s Sayers: FCA KIDs Clarification ‘Very Helpful’
The Association of Investment Companies CEO says an FCA statement on Key Information Documents attached to Priips helps, but does not solve, the KIDs’ fundamental problem with overly optimistic projections.
Malaysia and Singapore to Establish Trading Link
The exchanges and central banks of both countries will iron out details in the coming months for it to be operational by year-end.
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.
Opus Launches Anti-Corruption Platform
The product is designed to help simplify the process of navigating third-party risk in other countries.
Roger Worthington to Head AxiomSL’s New Product Ops Team
Worthington has more than two decades’ experience building and managing shared infrastructure.
TradeData Bows Historical Symbology Archive for Regulatory Analysis
Euromoney TradaData’s Forensyx service helps regulators investigate historical transaction reports.
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.
Buy Side Bands Together on Blockchain Vision in Landmark Paper
Fund managers, vendors and trade associations release joint paper on making distributed-ledger technology work for the buy side.
Aquis Tech Links SIs, Counterparties via Connectivity Hub
Hub allows counterparties to continually adjust which stocks they want to interact with.
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 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…
AMF Platform Processed 3 Million Mifid II Reports in Five Days
The French regulator’s ICY platform debuted along with Mifid II on January 3, and by January 8, it had processed 3 million trade and transaction reports from over 50 firms in France.
Tradeweb APA Bug Mires Mifir Reporting
Reporting platform began rejecting trade reports due to mismatched identifiers, banks say.
What to Do About Mifid II
Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.
The KIDs Are Alright (But the Priips Still Have Issues)
Europe’s Packaged Retail and Insurance-based Investment Products becomes law on January 1, 2018. In-scope market participants racing to meet its significant data and reporting challenges all face the same hurdle: how to calculate implicit costs. Jamie…
2017: A Year in Profiles
Waters profiled 12 C-level executives in 12 months.
Peeling Back European Regulations in 2018: What to Expect Next Year
Waters runs through the key facts you need to know about Mifid II, GDPR, BMR and Brexit.
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.
NEX Regulatory Reporting Pushes for SFTR Trade Repository Status
London-based NEX Regulatory Reporting plans to become an SFTR trade repository ahead of a dedicated reporting solution.
Ground Zero: Digital Currencies in Asia
As cryptocurrencies gain interest from investors around the globe, Wei-Shen Wong examines the splintered Asian marketplace to see how regulators are adopting different strategies when it comes to overseeing these complex instruments.
Solvassure Unveils GDPR Compliance Platform
The regtech firm has released a platform designed for compliance with the General Data Protection Regulation and the Accountability Regime.
FCA: Mifid II Enforcement Starts Jan. 3, Will Be Targeted
UK regulator's Mifid coordinator underscores message from European Commission earlier this month: no further delays to deadline. However, enforcement will be targeted.