Standards
Ahead of Solvency II, Asset Liability Management Looms Large for Managers
Asset managers with insurer clients are searching for new data management and portfolio optimization platforms as the European regulation inches closer.
New Tech Benchmarks Required After HSBC AML Failure Probe
The US Senate Permanent Subcommittee on Investigations found the bank's monitoring of correspondent relationships and bulk cash transactions wanting. Enterprise-level solutions are required to solve complex anti-money laundering problems.
Fear and Loathing in London
There have been notable industry tech failures recently, but what about the regulators?
Viteos Launches Form PF Solution
The new veriPFy offering leverages the vendor’s experience in data warehousing and transformation to back the "interpretative exercises" required by the new reporting regulation.
Thomson Reuters Launches Eikon for Compliance Management
Product allows for fast access to regulatory data and content.
ESMA Emphasizes Compliance Under Mifid
European regulator labels compliance function as critical to a firm's operation and mandates resource allocation.
First and b-next Develop Sentiment Analysis Prototype
EU project partners with vendor for market surveillance tester.
StarCompliance Taps News Impact Scores for Insider Trading Tool
Compliance software vendor will use news provider's impact analysis to monitor trading activity against market-moving news events.
FSA, CFTC Fine Barclays Almost $300M for LIBOR, EURIBOR Manipulation
Authorities impose fines for bank's attempts to abuse benchmark price-setting process
Back Offices Under Pressure in Drive Toward T+2
Regulators on both sides of the Atlantic are squeezing the settlement process.
Société Générale Implements FRSGlobal for Asian Regulations
Technology from Wolters Kluwer Financial Services automates bank's regulatory returns.
Wells Fargo Targets Contracts, Compliance
Steve Listhaus, head of market data services at Wells Fargo, outlines the bank's new efforts around negotiating contracts for data services, and market data compliance.
Redkite Deploys Surveillance Solution on Options Pipe
The private cloud by Options IT will carry Redkite's fully compliant solution.
Linedata Beauchamp Enhanced to Meet Hong Kong Short Position Rules
Move comes ahead of new rules soon to be implemented by the Hong Kong Securities and Futures Commission.
Automated CBR Software Helps Investors Count Their (Tax) Losses
In May, the IRS delayed the implementation for cost-basis reporting for fixed-income instruments—but shoring up financial firms' tax knowledge and solutions should be done now.
Emerging Markets See Strength in Numbers for Data Distribution
With investor interest in emerging markets still strong, emerging market exchanges are using alliances with their peers and with established exchanges and technology providers, and technology standards to expand their international reach.
DST Global Solutions Responds to Chinese Regulation
The vendor's HiPortfolio platform has been adapted following China's RMB Qualified Foreign Institutional Investor regulations.
Orange Amps Up TCSnet for Dodd-Frank Compliance
Connectivity and functionality updates bring Trad-X onto service.
Regulation & Compliance special report
June 2012 - sponsored by: NICE Actimize, Omgeo, SIX Financial Information
Big Brother Is Watching: Compliance Envelops the Business
As regulatory reform and an enhanced level of scrutiny falls on practices within investment banks, compliance departments are finding themselves increasingly involved with all areas of a business. In this era of a more proactive approach to oversight,…
Progress Issues Latest Surveillance and Monitoring Release
The new Apama solution has capabilities to support the latest ESMA guidelines, among others.
Paladyne Adds HK Regulatory Requirements
Portfolio Master now meets regulator's mandates for fund manager short positions.
SunGard Upgrades Surveillance to Comply with ESMA
SunGard's Protegent has an enriched rules library to ensure market abuse can be surveilled in real time.
NICE Actimize Unveils Fatca Compliance Solution
Firms will have to be compliant with Fatca legislation by January or July of 2013, depending on their national status.