Regulations
FCA Using NLP, Machine Learning to Regulate Businesses
The regulator is advancing with its strategy to improve its use of tech in its oversight role, says data chief.
Eventus Systems Uses $10.5m Funding to Advance AI, Double Workforce
The trade surveillance technology provider plans to expand over the next 12 months.
Covid-19: A New Era for Trade Surveillance
As the boundaries between work and home blur, monitoring and privacy may be at odds.
CME Group to Scale Back Regulatory Reporting Business
The exchange group is closing several of its regulatory reporting businesses following a review finding they no longer align with its strategic direction.
SEC, Exchanges Clash Over Revised Consolidated Tape Plans
US equity exchanges have pushed back aggressively against an SEC order directing them to submit a revised plan for operating the consolidated tapes of US equities quote and trade data.
On Cobol and Legacy Systems: Covid-19 Turmoil Calls For Change
Financial industry experts say the time to start future-proofing was yesterday.
Earn It? Burn It
Jo looks at an attack on end-to-end encryption that is winding through the US law-making process this month.
Covid-19 Is Raising the ESG Stakes
Unlike in past financial crises, ESG is taking center stage as social and governance data is directly relevant to all companies weathering the coronavirus pandemic. That makes the holes in that data, which still remain, all the more apparent.
Former HSBC Transformation Head: Weathering the Crisis as a Start-Up
This is a difficult time for most businesses, but start-ups are particularly vulnerable as they struggle to manage cash flow.
The Business Case for Overhauling the Back Office
There is little doubt regarding the extent to which the financial services industry has been shaped by regulation in the wake of the global financial crisis more than a decade ago. And while those amendments have largely been successful, they have…
This Week: SEC, SS&C, TRG Screen, Refinitiv, Rimes
A summary of some of the past week’s financial technology news.
LSEG To Build DLT PoC for Equities Settlement
The exchange's blockchain architect says the product is being prepared for testing in the FCA's sandbox.
Datactics Takes 'Human-in-the-Loop' Approach to Machine Learning
The data quality and matching specialist is testing an entity resolution model for better transparency and explainability.
New Platform Eases Analyst–Trader Communications Compliance
Client Instant Access’s Omnigage allows compliance officers to approve communications content.
Deutsche Börse Foresees DLT Role as Network Operator
The exchange says its function may evolve from a traditional market infrastructure provider to managing decentralized networks.
Hedge Funds Use Shopping Center Cameras in Hunt for Alpha
Buy-side firms in search of alternative insights to drive returns are turning to sentiment analysis to fine-tune their strategies.
LEI on the Edge: What Needs to Happen for Wider Adoption?
The financial industry is losing faith in the LEI initiative as regulatory mandates remain patchy, but some see hope in SFTR’s unique-issuer LEI. By Mariella Reason
Google Exec: Regulators Insisting on Multi-Cloud for Financial Firms
As regulators fear vendor lock-in and concentration among cloud providers, Google Cloud pushes its Anthos platform.
CAT Seeks Approval to Mask Personal Data
The CAT is required to gather personal information, but the CAT NMS committee wants to use a masking method for security.
SteelEye to Monitor Social Media for Trade Reconstruction
Compliance vendor says upcoming automatic trade reconstruction will slash processing times and allow users to monitor news feeds to detect insider trading.
VendEx Readies VReg Tool to Shed Light on Vendor Dependencies
VReg will highlight the third-party services that financial institutions rely on most to meet each aspect of regulations.
Isda Wants Regulators to use its Model to Draft Rules
The trade association is looking to offer its Common Domain Model to rulemakers.
SEC Democratic Commissioner Slams CAT Delays
Robert Jackson dissented from a new proposed order to modernize exchange data.
Vendor Lock-In Creates Barriers to Digital Transformation Efforts
Voya Financial and Blackstone execs discuss the role that fintechs play in firms' digital transformations, and caution them not to rely so heavily on vendors.