Standards
Lone Pine Turns to SS&C For Form PF Support
Asset manager is using SS&C's web-enabled Form PF application to help comply with Form PF requirements.
New Trading Surveillance Offering from Kinetic-Redkite Alliance
The partnership will help firms respond to regulatory pressure to adopt automated, real-time trade monitoring and surveillance practices.
CFTC Extends Deadline for Swaps, SEF Regulation Implementation
The regulator's order, providing an additional six months from previously, will see parts of Dodd-Frank Title VII implemented by December 31 of this year.
Anticipating Hong Kong Short Positions Reporting Rules, ConvergEx Updates OMS
The rules, set to be implemented in June, provide more stringent standards for weekly reporting of net short positions on Hong Kong Stock Exchange-listed firms.
Cinnober Debuts Scila Compliance
New software for brokers and investment banks combines compliance with performance measurement.
Finra Fines Sell-Side Firms for Lacking 'Adequate Supervisory Systems'
Self-regulatory body says Citi, Morgan Stanley, UBS, and Wells Fargo did not have sufficient knowledge of leveraged and inverse ETFs they were selling.
State Street Releases Opera Reporting Solution
With the release of the industry risk aggregation protocol, State Street has announced a new compliant reporting solution.
NICE Actimize Unveils Hedge Fund Compliance Solution
Hedge funds can now benefit from NICE Actimize's non-compliance detection models.
For Commodities Swaps Dealers, Agenda Moves from Definitions to Reporting
Decomposition and aggregation tools will be needed for trades crossing multiple commodities, as will a flexible framework for potential future rules changes.
Form PF Shines Light on Golden Copies and Mapping Requirements
While the SEC says that it will only take about 53 man hours to complete a Form PF filing, a new whitepaper by Eze Castle Software estimates that number to be on the low end of the spectrum.
Lombard Risk's Colline Making Inroads in Vienna
Risk management firm signs deal with Austrian bank BAWAG P.S.K. for collateral management solution.
Keeping Up with Compliance
The ways in which technology is breaking down traditional roles.
DTCC and EFETnet Partner for Global Trade Repository
First facility for OTC commodity swaps launched after successful pilot.
SWIFT Launches Sanctions Screening Alerts
Centralized alert service to ease regulatory compliance.
Accuity Adds Anti-Bribery, Corruption Screening to Compliance Offering
New functionality reflects more FCPA enforcement and stronger requirements in new UK Bribery Act.
Smarts Broker Implemented by China Merchant Securities
The surveillance tool from Nasdaq OMX is being deployed by a China-based broker-dealer for the first time.
Tradition Reaches Agreement with NFA on SEF Regulatory Functions
Agreement includes technology standards to meet self-regulatory obligations.
SaarLB Taps Regis-TR and Banksysteme Aktiengesellschaft for Derivatives Transactions Reporting
Move comes ahead of new ESMA requirements for European banks.
Regulation Cost Causes Technology Headache in Asia
Julian Korek, founding member of Kinetic Partners, says the Asian market is worried about the cost of installing new technologies to comply with regulations.
TRG Post Trade Services Partners LSE's UnaVista
TRG Post Trade Services announces partnership with London Stock Exchange Group's compliance and post-trade services platform.
FINRA Recognizes Bloomberg Open Symbology
Free-to-use framework given green light by US regulator.
Survey: Firms 'Not Ready' for Costly ICT Reforms
Tens of millions of dollars in fines may be handed out this year as penalties for non-compliance, says PJ Di Giammarino, CEO of think tank, JWG.
Thomson Reuters Debuts Accelus Compliance Manager
Solution helps to navigate regulatory complexity.
SimCorp Dimension Version 5.1 Released
The system supports phase one of the new IFRS 9 standard.