Regulations
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.
Merrill Lynch, JPMorgan, Sibos: A Week in Review
John recaps some of Sell-Side Technology's best stories of the week, including (more) blockchain developments, noteworthy fintech graduates, and significant regulatory fines.
DTCC to Enhance Global Trade Repository for SFTR
The Depository Trust & Clearing Corporation is prepping for SFTR by enhancing GTR to support securities financing transaction reporting across Europe.
Merrill Lynch Slapped with $45 Million FCA Fine for EMIR Reporting Failures
First enforcement action under EMIR taken by UK financial watchdog over exchange-traded derivatives reporting.
European Commission: Post-Crisis Regulation Must Focus on Fintech
Fintech developments and implementation requires greater regulatory supervision, according to the European Commission's vice president.
Four G-Sibs Pick AxiomSL for AnaCredit Reporting
Banks have already completed test submissions stipulated by Germany and Ireland.
October 2017: Watchdogs Sharpen Their Tech Teeth
We’re all used to financial institutions complaining about the burden of regulation and the amounts of data they must collect, maintain and report. But spare a thought for the organizations that will have to capture and analyze more data than any single…
Compliance Countdown: On the Home Stretch to Mifid II
September 25 marked exactly 100 days until Europe’s new financial regulatory framework, Mifid II, becomes law. Jamie Hyman gets the lowdown from market participants and observers on whether the industry is ready, what the remaining three months will look…
GDPR: The Next Big Regulation
While all the talk pertaining to regulation across the capital markets has centered on Mifid II, GDPR has surprised many financial institutions due to the extent of its reach and the data governance challenges is poses. Anthony Malakian talks with…
ICBC Taps AxiomSL for Mifid II Solution
The bank is able to use the same platform for multiple regulatory reporting requirements.
Final Call for Mifid II
National and privately owned stock exchanges across Europe, the heart and mind of the bloc’s financial marketplace, are gearing up for January 3, 2018, when Mifid II finally comes into force.
On the Fence About Fintech Regulations
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
Regis-TR Commences Trade Repository Services in Switzerland
This service allows participants to comply with reporting obligations under FinfraG.
Saxo Bank Japan to Replace Legal Ledger with Torstone Technology’s Post-Trade Solution
The bank will use Torstone Technology’s Inferno to comply with regulatory reporting requirements in Japan.
Impacts on Technology Beyond Mifid II
Sponsored feature: Ullink
Technology Takes Aim at Post-Trade Black Holes
The influence of regulation and new technology is prompting a hard look at how post-trade processes can be improved, and perhaps even replaced entirely.
Paying It Forward: The New Era of Investment Research
Fundamental change is coming to how research is paid for under new European rules, and the impact cannot be underestimated.
Ullink Extends OMS with Broker Solution for SI Regime
Modular extension for SI compliance to Ullink OMS aims to simply quoting process for brokers under new regulations.
WFIC 2017: Brexit, GDPR May be Bigger Disrupters than MiFID II, Says MEP Swinburne
The importance of data is rising in regulatory circles, Swinburne told WFIC attendees.
Compliance Countdown: 100 Days to MiFID II
Sept. 25 marks exactly 100 days until Europe’s new financial regulatory framework, MiFID II, becomes law. Jamie Hyman gets the lowdown from industry experts on whether the industry is ready, what the next 100 days will look like, which strategies firms…
European Exchanges Emerge as Biggest Winners from Mifid II
Three exchanges explain how the upcoming regulation is creating a field of new business opportunities in Europe.
Esma Gains Sweeping New Powers in Commission Review
MEP Markus Ferber tells Waters that this change “must not mean that the ESAs can do what they want to just because they get more money,” and that the ESG provisions are “a non-starter”.
EquiLend and Trax Partner on SFTR Solution
The front-to-back SFTR service will cover all eligible asset classes.