Regulation
ESMA Releases MiFID II Transaction Reporting Guidelines
More pressure for reporting and data accuracy on the buy side, says analyst
Balancing Adaptability with Consistency
Defining a singular version of financial data information is being weighed against adaptability for diverse users, risk data experts are saying. Michael Shashoua hears the implications for BCBS 239 compliance
How FRTB Shifts Risk Approaches
Misys's Marcus Cree lays out risk data models that firms must use in response to the new trading risk assessment rules
Australia Considers Utility Model for AML/KYC
A centralized utility for AML/KYC data could help financial institutions and regulators monitor fraudulent activities.
Regulators Are Holding All the Cards, But Will They Play Them?
After years of rigorous sell-side regulations, the buy side is experiencing its turn in the spotlight as the eventual implementation of Mifid II approaches, but John thinks the European regulators need to decide on a more clearly defined position.
Waters Wavelength Podcast Episode 38: Bruno Campenon, BNP Paribas Securities Services
Dan talks to with Bruno Campenon, Americas head of custody and clearing services for BNP Paribas Securities Services, about the bank gaining approval to be a custodian for CME Clearing.
Managing Risk and Compliance, Through the Flow of Data -- Webcast
Archive recording of September 28 webcast on managing risk profile data for compliance
Tick Size Pilot Program Launches
The SEC's project to better understand the impact of changing the tick size for securities of small-cap companies kicks off today.
CFTC’s Petal Walker says Dual Tracking Reg AT’s Source Code Proposal Not on Radar
At this year's Chicago Trading Technology Summit, the CFTC's Petal Walker gave an update on Reg AT's progression and what's at stake for the source code provision.
CFTC Chief Counsel Petal Walker Discusses Reg AT's Source Code Proposal
At this year's Chicago Trading Technology Summit, the CFTC's Petal Walker gave an update on Reg AT's progression and what's at stake for the source code provision.
IBM Buys Promontory Financial, Blends Watson's AI with Regulatory Expertise
Promontory will serve as the foundation of the newly formed Watson Financial Services unit of IBM.
IBM to Acquire Promontory Financial in Move to Blend Watson's AI with Regulatory Expertise
Promontory will serve as the foundation of the newly formed Watson Financial Services unit of IBM.
Opus Debuts Alacra Regulation Guide
Periodic Table of Bank Regulation and Compliance provided as free service
Bloomberg Allows Tweeting Directly Through Terminal
Users can tweet directly from Instant Bloomberg through new Social <Go> feature.
Raiffeisen Bank International Selects SmartStream for Cash, Liquidity Reporting Solution
The firm seeks to monitor and manage cash positions on an intraday basis to comply with Basel III principles.
Thomson Reuters Looks to Grow APAC Footprint for AML/KYC
Compliance talent is thin in the region, hence why firms are looking to vendors for help.
IHS Markit, AITEC, AIMA Put Due Diligence on Know Your Third Party
AITEC-AIMA's due diligence questionnaire on vendors will be made available on the platform.
DTCC Lowers Trade Repository Fees for Australia and Singapore
The pricing change for ASIC and MAS transactions is effective Oct. 1.
Singapore, Collateral & SS&C’s Latest Acquisition: A Week in Review
John considers some of last week’s top BST stories, including SS&C’s acquisition of Wells Fargo’s fund administration business.
Two More Banks Join Project Sentinel
Consortium now numbers nine institutions
Lombard Risk Rolls Out AgileCollateral to Tackle Buy-Side Collateral Management
Launch of cloud-based, streamlined version of Colline solution aimed at buy-side collateral management compliance and efficiency.
S3 Rolls Out New Rules Coverage, Looks to Expand Reporting Capabilities
S3's Regulatory Reporting Suite already covers SEC Rules 605 and 611, and the current iteration of Rule 606; while the Finra Pilot Program goes into effect on Oct. 3.
Bloomberg Entity Exchange Lands First Singapore Buy-Side Client
Gordian Capital says the know-your-customer (KYC) solution will help accelerate client fund launches.