Regulation
Monetary Authority of Singapore Releases Timeline, Finalized Forms for Revised Reporting Notices
Financial institutions in Singapore have 24 months to be fully compliant with the Monetary Authority of Singapore’s revised notices 610 and 1003 for collecting trade data—though details of some asset classes will be released later, as the industry…
Global Fragmentation Looms in FRTB Data Pooling Stand-Off
The upcoming FRTB market risk framework allows financial firms to take different approaches to non-modelable risk factors: either capitalize risk factors that lack observable pricing in-house, or use a vendor-run data pooling utility. But, as Dan…
Bond Trading Takes Steps to Resolve Voice and Screen Conflict
With Mifid II's deadline in the rear-view mirror, Hamad Ali gives a "State of the Union" for the fixed-income market and electronic trading platforms.
Schroders Turns to Commcise for Mifid II Research
Platform gives greater transparency for compliance with unbundling requirements under European rules.
Mind the Governance Gap: Data Key to SEC Modernization Compliance
Good data governance plans will be key to compliance with new sweeping legislative changes from the SEC. But for those who haven’t established effective data governance practices—and even for many who have—the changes could prove a steep and arduous…
Wavelength Podcast Episode 118: CAT ‘State of the Union’, RTS 27 & 28 Concerns, The ‘Big Tech’ Dilemma
Anthony and James discuss some of the big stories to come out of TradeTech Europe and then three legal experts look at how the SEC has been quiet about the CAT.
In Broadsides and Brush Strokes, Traders Call for Lighter Regulatory Touch
Speakers and attendees at TradeTech Europe called, with varying degrees of subtlety, for a relaxation of regulatory reform.
Google Denies Rumored Plans to Enter Financial Markets
Tech giant has no immediate plans to enter the space outside of its role as a service provider, despite uneasy conference chatter.
Big Problems, Short Codes: A Potential Solution to GDPR's Info Privacy Challenges
Looking ahead to GDPR, ARMs and trading venues are developing ways to better protect the personal data they are required to collect, report and store under Mifid II, while investment firms tasked with providing personally identifiable information to the…
Encompass, Nikkei MM Ally for Japanese KYC Compliance
Users will have access to news and corporate data from Nikkei MM for KYC and AML compliance, and the ability to monitor their exposure to entities or individuals linked to the Yakuza.
Wary Brokers Sound Alarm on Mifid II's RTS 28
Brokers are concerned that reports on best execution, due in just a few days, may be too onerous to produce in full.
Exchange Execs Cast Doubt on Mifid II's Best-Ex Reports
Experts warn venue reports will be unreliable and effectively bereft of value for investors.
Regnosys to Expand Reach with Bank, Regulatory Implementations
In addition to its work with Isda, the fintech startup also has projects in the works with ING Bank and the FCA.
Regulatory Interest in AI for Surveillance Increasing
Regulators are more engaged with meeting with fintech firms to understand how they can work with AI for compliance.
Regulators Warn on Phishing Scams
Increasingly sophisticated schemes are targeting firms and individuals, watchdogs say.
The Future of Blockchain-Based KYC Utilities
Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…
Nasdaq BWise Aims to Quantify Regulatory Risk with Policy Tracking Platform
Product offers augmented regulatory tracking in first phase, will expand to track enforcement actions in the future.
The EU and US Are Playing a Dangerous Game
Bickering between regulators rarely helps anything, but power plays involving CCPs are even less helpful.
Data Drives Joint Regulatory Reporting Service From Elixirr and Kaizen
Tie-up aims to deliver a comprehensive transaction reporting remediation solution.
Rimes Targets Market Surveillance with New Regtech Offering
Vendor expands RegFocus platform with surveillance capabilities designed to detect suspicious trading behavior.
Bank of England Announces New Fintech Hub
The latest UK initiative aims to support emerging technologies and innovation for UK fintech sector.
Encompass Opens in Hong Kong to Support Growth in Asia
Hong Kong, China, Singapore and Japan driving demand for automated KYC solutions.
March 2018: Regulatory Watchdogs Show Their Teeth
After some questioned ESMA's resolve, the regulator is stepping up its enforcement efforts. Max reviews how ESMA wants market participants to know that its bite can be worse than its bark.
Esma Probes APAs Amid Mifid Trade Data Issues
Approved Publication Arrangements—a critical component in the new Mifid II European markets regulation—may be falling short of their requirements under the new transparency rules, and have drawn Esma’s attention. By Samuel Wilkes, with additional…