Regulations
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.
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…