A judge for the Southern District of New York has also ordered that two class-action suits brought against Cusip Global Services and its affiliates earlier this year be consolidated.
The comms provider may have to register its RFQ workflow and messaging tool as a Sef, or perhaps permanently shut down the business line.
Bloomberg's Eugene Stern and Brad Foster discuss data challenges relating to the Fundamental Review of the Trading Book (FRTB).
Jo writes that the EU’s new digital package could find large cloud providers operating in the bloc subject to potentially invasive oversight, as the EU strives for “data sovereignty”.
Not having specific requirements and procedures for firms to refer to ended up putting some funds in a tough place during the pandemic’s early days.
VReg will highlight the third-party services that financial institutions rely on most to meet each aspect of regulations.
The company has taken a tailored approach to outsourcing contracts as increased scrutiny demands portability and audit rights from cloud service providers.
Smart contract developers should not be responsible for violations of regulation perpetrated on the blockchain, says Katten special counsel.
The UK regulator has moved much of its data to the cloud and is using more advanced analytics as it seeks to better regulate evolving financial firms.
Starting next month the vendor will allow testing for its UTI portal to help with SFTR compliance.
David Brierwood has been named as the vendor's first chairman.
The cloud-based offering allows buy-side clients to manage their interactions with research providers, industry experts and analysts.
New module provides researched legal entity data for AnaCredit counterparty data compliance.
LSEG is looking to improve its non-clearing services with this latest deal.
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
Worthington has more than two decades’ experience building and managing shared infrastructure.
Rimes Technologies introduces cloud-based Rimes RegFocus BMR Control.
Financial messaging provider opens up Know Your Customer registry in bid to become standardized central utility.
SIX Financial Information updates global data service to help financial institutions address new U.S. sanctions against Venezuela.
Technology is creeping into buy-side compliance processes, but to what degree?
Sponsored webinar: SIX Financial Information
Bloomberg’s clients can connect to Bats’ APA for all their equities reporting obligations.
Reg-Impact builds on the vendor's existing Reg-Track tool for monitoring upcoming regulatory changes.