Regulation
Northern Trust Re-engineers Post-Trade Compliance Platform
Chicago-based Northern Trust unveils new compliance monitoring capabilities that provide independent governance over external fund managers, with a focus on data quality checks.
DTCC Expands Global Trade Repository in Singapore
The utility's new capabilities support reporting for five major OTC derivatives asset classes under MAS reporting requirements.
Following FCA BMR Approval, Markit Preps for Uptick in Index Admin Business
The vendor anticipates that many financial firms acting as "self-administrators" of proprietary indexes will choose to enlist a third party to comply with the upcoming BMR regulation.
Wavelength Podcast Episode 128: Agile Challenges; CAT Plan Questions
Eze Software’s Phil Christianson gives five tips for improving a firm’s use of the Agile methodology, and Anthony and James look at the latest CAT development.
Keeping Data on the Radar: BCBS 239 Principles Still a Work in Progress
As the January 2016 deadline passes the 2.5-year mark, regulators are sounding the alarm about a lack of compliance with BCBS 239's 14 RDARR principles as banks grapple with the meaning of data governance. Amelia Axelsen talks with data experts about why…
Panel Discussion: The Buy-Side Challenges of Complying with the Market Abuse Regulation
The Market Abuse Regulation was designed to detect and deal with various forms of market abuse, including insider trading and market manipulation, forcing buy-side firms to deploy new technologies in order to comply.
Kaizen Lands Lee for SFTR Business
Lee has a background in regulatory reporting and SFTR, including leading an ICMA taskforce on SFTR.
Bad Blood: Regulators Lose Patience with Mifid II’s Dirty Data
Problems and bad practices continue to plague Europe's vision of a new transparency regime. An inside look.
Shield FC Hires Global Sales VP
In a newly created role, Eran Noam will head global sales for the regtech vendor.
Wavelength Podcast Episode 127: Digital Reasoning’s New AI Product; A Look at the July Issue of Waters
After an investment to improve the podcast's sound quality, Anthony and James talk about Digital Reasoning's latest move and preview the next issue of Waters.
Dark Trading Caps Not Responsible for Periodic Auction Growth, Study Finds
FCA report find that growth in periodic auction trading is not a result of dark-trading bans.
US Regulators Strengthen Ties with New Agreement
Derivatives and equity market regulators sign updated memorandum.
Digital Reasoning Readies Public Release of Model-Training Platform
To solve the old needle-in-a-haystack problem, Digital Reasoning is developing a tool dubbed Cognition to improve the training process for machine-learning models.
Compliance firm Steele Acquires TransparINT
The deal brings artificial intelligence and machine learning capabilities for anti-money laundering monitoring to Steele.
Wavelength Podcast Episode 126: Brexit Fallout; the SGX-NSE Battle Continues; Cellphone Location Data
Anthony and James hit on a wide-range of topics, from Brexit in the UK, to the SGX-NSE fight in APAC, to the Supreme Court's decision on cellphone location data in the US.
IBM Rolls Out Upgrades for Watson Financial Services Portfolio
IBM has enhanced its regtech suite of services, including the integration of Armanta’s platform after the May acquisition.
LEI Grace Period Ends July 2
Esma warns six-month LEI grace period will not be extended.
June 2018: It’s Not About Winning, It’s About Compliance
Do you know your APA from your CDO? Max summarizes the topics covered in this month's issue of Inside Data Management.
Senior SEC Staffer Says Bitcoin, Ether Are Not Securities
Digital currencies themselves do not qualify as investment contracts, regulator says, but could when packaged.
Wavelength Podcast Episode 125: Bitcoin, Ether Aren't Securities (Maybe); Privacy Issues and the Law
The SEC takes a definitive stance on the status of cryptocurrencies; the idea of privacy consistently changes with the introduction of new technologies.
Publicis.Sapient, European DataWarehouse Partner for Securitization Repository
Vendors aim to create first repository under new EU regulation.
Bank Execs Call for Regulatory Harmonization and Cross-Border Clarity
Panelists discuss operational issues involved in cross-border compliance with Mifid II.
Thomson Reuters Uses AI to Turn World-Check Tool into Financial Robocop
Using artificial intelligence and machine learning will help make Thomson Reuters News Check tool more accurate in identifying relationships between events and individuals.
SGX-NSE Battle Could Become a Long War
The exchanges are currently undergoing arbitration regarding the launch of SGX’s new futures contracts meant to succeed the outgoing SGX Nifty 50 suite of products.