Regulation
Waters Wavelength Podcast Episode 73: The UK Election, Brexit & Fintechs; The Bloomberg Point-Port Integration
An examination of what the UK election and eventual Brexit negotiations could mean for London's fintech space followed by a discussion of Bloomberg's Point-Port integration.
Market Cops Dust for Fingerprints in Modern Spoofing Cases
Data analytics are now being used to track manipulative trading, increasingly in real time.
Misys Takes Aim at Automated Mifid II Reporting
Misys is working with Broadridge on the platform, which will automate reporting ahead of new regulatory requirements
Praying for Another Day: As FRTB Looms, Banks Prepare
Industry testing for FRTB will begin in 2019 with implementation coming in 2020, though there is hope that personnel changes at the Basel Committee will lead to some extra leeway.
ESMA Fines Moody’s €1.24M for Credit Ratings Breaches
ESMA says that between June 2011 and December 2013 Moody’s failed to explain decisions for 19 ratings.
NICE Releases Robotic Process Automation for Compliance Investigations
Robotic process automation is seen to cut down on inefficient manual tasks.
ESMA Grants Approval to Bloomberg European Trade Repository
Bloomberg set to open trade repository for Europe for OTC and exchange-traded derivatives reporting.
Red Deer, Westminster Ally for MiFID II Research Solution
The end-to-end solution will remove potential conflicts in research valuation and payment.
Colchis, Alcova Tap AQMetrics for Risk, Reg Reporting
AQMetrics has added US investment management firm Colchis Capital Management and hedge fund Alcova Asset Management as clients of its Regulatory Risk and Compliance Software platform.
Credit Agricole Singapore Employs AxiomSL’s Regulatory Data Solution
Investment bank will use the solution to comply with mandates under MAS 610 and MAS 649 required by the Singaporean central bank.
FCA Urges Buy Side to Make Assumptions on Mifid II Provisions
FCA speaker says regulators would punish firms that did nothing ahead of Mifid II, but not the ones that tried but failed.
Can Automation Prevent Regulation Consternation?
Digitization and automation are key to meeting the demands of the financial industry's future regulatory burden.
‘Smart Data,’ Regulation Drive Buy-Side Content Needs, But Cost Is Main Concern
The need for “smart data” and new analytical tools that deliver trading advantages where other sources of alpha have dried up, along with the reporting and storage requirements of new regulations are placing increased demands on firms’ need to handle…
Silverfinch Adds Module to Address MiFID II
The new module will make it easier for firms to collect and aggregate the datasets required for MiFID II compliance.
CFTC Sets Up Lab to Connect with Fintech Firms
LabCFTC will help guide firms through CFTC rules and open the agency to updating its regulations to meet changing market conditions.
Tradeweb APA Signs BNP Paribas, Credit Suisse, Morgan Stanley, Societe Generale for Mifid II Reporting
Four institutions join Deutsche Bank, Goldman Sachs, JPMorgan on APA Mifid II reporting service.
Finra to Sunset Oats Over a Two-Year Period
Shutting down Oats may take two years and depend on CAT data accuracy.
Waters Wavelength Podcast Episode 69: AQR's CTO, Neal Pawar, on Engineers & Open Source
Neal Pawar, AQR's CTO, joins Dan and Anthony to talk about attracting talent, the future of open source, and his love of Liverpool football club.
Mifid II: The Movie
John attempts to introduce some levity into Mifid II with some truly awful movies based on the impending European regulation.
Future of Equities Is Survival of the Fittest as Mifid II Accelerates Market Structure Changes
The importance of adaptability for equities market participants is only set to increase as Mifid II changes the landscape, says TradeTech panel.
Systematic Internalizers: An Ambitious Regulation Caught in the Crossfire
The SI regime has proven to be the most fragile piece of regulation, as its legal loopholes have triggered a series of political events and has been established as the market’s most notorious law.
Thesys Moves Forward with CAT, Signs Contract with SROs
According to regulatory filings, the CAT will cost the industry $50.7 million for the fiscal year beginning November 2016.
Sapient Launches Client Connect as Managed Service
Sapient says Client Connect will help firms automate many client-facing responsibilities and reallocate people for better efficiency.
HSBC Taps Fenergo for Client Compliance Management
The platform will allow the bank to ensure compliance, improve onboarding times, and improve efficiency, while integrating with KYC and AML utilities.