Regulation
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.
Waters Wavelength Podcast Episode 68: An Inside Look at IBM Watson
Marc Andrews of IBM sits down with Anthony and Dan to discuss the company's use of Watson for regulatory compliance and surveillance.
Slowdown Showdown: Exchanges Eye Speed Bumps
Three exchanges have filed with the SEC regarding implementing either a delay mechanism or order types similar to what IEX operates, following its approval as a national exchange less than a year ago.
Rising to the Intraday Challenge
Sponsored feature: SmartStream
"Arbitrary" Dark Pool Caps Leading to Increase in Block Trading and Innovation
Innovation and large-in-scale trading are set to be given a boost as the industry seeks ways to combat the dark pool double volume caps under Mifid II.
Don’t Stop that CAT: Why the Industry Needs to Aggressively Push Forward with the Audit Trail
The need for the CAT to be a top priority.
Bats Europe, Bloomberg Join Forces for Mifid II Trade Reporting
Bloomberg’s clients can connect to Bats’ APA for all their equities reporting obligations.
ITG, Commcise Target Buy-Side Mifid II Research Payment Struggles with Integrated Offering
Integrated solution to provide end-to-end offering for asset managers in research payment and management ahead of rule changes.
Banks Scramble to Protect Against GDPR Data Breach Fines
Concurrent with—yet seemingly in conflict with—KYC initiatives is the EU’s General Data Protection Regulation, which will upend how banks treat customer data, and will levy steep fines against those who fail to comply or suffer data breaches. Alina…
April 2017: The Regulation–Data Vicious Circle
Many data management initiatives are inspired by efficiency and best practices, but only become reality after regulatory involvement.
iMeta Taps JWG for Regulation Rule Sets
By integrating JWG's RegDelta platform, iMeta will be able to offer more details and interpretations of regulations to support client compliance and risk functions.
Bafin Opens Up About Electronic Whistleblower Platform
The German regulator discusses its recently launched platform through which financial markets employees can anonymously report regulatory abuses.
CJC Hires Industry Vets Clark, Cartledge, Humby
The trio will lead a new division at CJC focusing on regulation relating to banks' contributed price data.
VidaCaixa Taps SimCorp for Data Management, Compliance, Risk Management
The Spanish firm is rolling out SimCorp Dimension to cover a range of functions, after signing up to use the platform in December.
The Technology Impacts of Mifid II (Part 3)
Ullink's Richard Bentley focuses on the changes likely to occur in the relatively mundane yet hugely important post-trade environment in the wake of the introduction of Mifid II.
If It’s Europe, It’s Mifid II: The Directive Will Seep Into Every Trade
"Meredith Gibson, director at Meredith Gibson Advisory, stressed the importance of speeding up the processes of putting together and following a full compliance strategy, given that there would be significant complications for anyone who might fall…
Opus Debuts Preconfigured KYC Service
With no client-site IT requirement, officials say the entry-level platform will suit banks with less complex KYC needs for whom speed and ease of deployment is more important.
Mirabaud Securities Focuses on Mifid II Execution, Liquidity Management with MES Platform
New platform places emphasis on optimizing liquidity and execution management ahead of significant challenges presented by Mifid II.
April 2017: Headlines and Deadlines
"But what about the January 3, 2018, Mifid II deadline? To what extent are capital markets firms’ minds concentrated on that deadline?"
FCA Recognizes Mifid II Data Challenges but Reiterates “Real Deadline” Stance
The UK's Financial Conduct Authority is working to ensure its own readiness for Mifid II data challenges, and acknowledges that many firms will struggle with similar issues.
Ullink Launches Multi-Asset Trading Reporting Platform for Mifid II Compliance
Automated trade reporting solution for multiple asset classes to provide centralized view of reporting activity under new Mifid II regulation.
Dun & Bradstreet Bows ‘Beneficial Ownership’ Data for AML, KYC Compliance
D&B's new tool will help companies in the financial markets and other industries comply with KYC-related regulations.
Bracing for a RegTech Boom
With an unenviable raft of new regulation imminently coming into force, market participants anticipate a flurry of adoption of compliance-related technology, which is expected to prove lucrative for RegTech providers. Joanna Wright and Max Bowie talk to…
Brexit Undermines MiFID Data Foundations
Even after Britain leaves the European Union, financial firms wanting to do business within the EU will need to comply with MIFID II. But removing the UK from EU markets could still derail new European trading and transparency rules. Samuel Wilkes…