Regulation
RIMES Unveils Buy-Side Surveillance Platform for MAR Compliance
RIMES’ RegFocus offering is designed to reduce the risk of insider dealing and market manipulation for the buy side and helps firms comply with the new MAR regime.
Golden Copy: It's A Legal Matter From Now On...
With a nod to Pete Townshend, nuances of the law in financial data regulations, especially in Europe, could become the most challenging aspect of compliance
Know Your Customers? Or Protect Their Privacy?
KYC/AML requirements conflict with other regulations aimed at limiting how much data firms mine for fulfilling those disclosure rules. Joanna Wright reports
How to Succeed at Knowing Your Customer
Australian market's new platform sets an example for management of key data for anti-money laundering efforts. Wei-Shen Wong reports.
Wipro Targets Buy-Side Market Share with ReconX
Wipro's ReconX platform uses machine learning to identify patterns and spot errors.
MiFID II and Plato: Without Further Ado
Time isn't on anyone's side, so John thinks it's time for action on MiFID II and the future of Plato Partnership.
Hong Kong Government Sets Up Fintech Sandbox
Hong Kong’s regulator observed that more fintech initiatives were being explored by the banking industry.
Boosting Asia’s Liquidity: A Look at Best Ex Issues in the Region
While best execution mandates are growing around the globe, should the question be more about better execution than best execution?
Golden Copy: Basel III Accordion
Responsibility for compliance with capital adequacy rules dances a polka between the regulators and the regulated
Commerzbank Picks AxiomSL
Service aims to address multiple regulations on one platform
Lemanik Asset Management Taps Linedata for Compliance Monitoring
Luxembourg asset manager deploys Linedata Compliance for UCITS and AIFM directives, but will manage its own reporting functions.
Trax Launches MiFID Instrument Reference Data Service
Identifying eligible instruments for reporting is a challenge for firms
Industry Still Lacks Golden Source for Reportable Securities
ESMA list the only option but 'far from ideal', says expert
MarketAxess Adds Ancoa Market Surveillance for its Fixed-Income Platform
Market abuse surveillance capabilities deployed on European fixed-income multilateral trading facility.
Basel III Progress Report: Some Jurisdictions' Banks Struggling to Adjust IT Systems to Meet Requirements
The Basel Committee on Banking Supervision also found "significant gaps" in data accuracy and adaptability.
Golden Copy: Inevitably Incorrect ... Or Not Necessarily?
When using data about risk to make predictions, or report accurately to regulators, how can one avoid being wrong?
Bats Europe Begins Client Testing for Mifid II Order Record-Keeping Requirement
European exchange calls for harmonization across industry.
Why Deutsche Börse is All About Regtech
Regulatory services unit of exchange group looks to partner with innovators
Australian Markets Monitor Changing Data Operations
AUSTRAC discarding ETL for less-structured data transmission
Misys Prepares to Support Banks for FRTB Compliance
Vendor readying enhanced FusionCapital Risk solution
ICE Faces Potential Sale of Trayport Over CMA Inquiry into Lessening of Competition
UK watchdog raises issue of potential “substantial lessening of competition” as a result of $650 million acquisition last year, suggests “complete divestiture” as possible remedy.
CMA Proposes ICE Sells Trayport Due to Acquisition Causing a Lessening of Competition
UK watchdog raises issue of potential “substantial lessening of competition” as a result of $650 million acquisition last year, suggests “complete divestiture” as possible remedy.
Rise of the Semi-Transparent (Nontransparent?) Active ETF
Eaton Vance is the first to launch an exchange-traded managed fund, with Precidian (and others) looking to release similar offerings.
FCA Reveals Users' MiFID 2 Cost Concerns, Outlines Proposed Reporting Platform Fees
FCA meeting minutes show users expressing their concerns about the cost of data, post-MiFID 2, while the FCA outlines the costs of its own MiFID 2 reporting solution.