Regulation
Waters Wavelength Podcast Episode 17: Regulatory Landscape, Fixed Income, Blockchain
Dan and Anthony talk regulations, fixed income and blockchain.
Be Mindful of Data License Restrictions When Meeting Regulatory Reporting Requirements, Panel Warns
Vendor licenses may not support use of their data to meet regulatory requirements, as these uses were not envisaged when terms were originally drafted.
Better Balance Needed to Combat 'Regulatory Fatigue'
Regulators need to be more concerned about properly spacing regulations as opposed to simply pushing their mandate.
DTCC, KRX Partner to Open South Korean Trade Repository
The two parties signed a memorandum of understanding to link KRX to a global trade repository.
SEC's Luparello: Stream of Regulations Won't Stop Soon
At Sifma Ops, SEC's director of division of trading and markets said the number of regulations coming down the pipeline won't end anytime soon.
Golden Copy: Looming Blockchain and Disclosure Mountains
Importance of interoperability rises as distributed ledger uses expand; GDPR rules have a broader aim
What Does GDPR Mean for Banks?
The EU's General Data Protection Regulation imposes accountability for protecting customers' and employees' personal data. It's drawing more attention to data privacy protection capabilities
Electronifie Seeks to Double Enabled Traders, Triple Active Users By Year End
Since its launch, $1.6 billion has been executed on the platform with an average trade size of $3 million.
Sapient Introduces Module for Reconciliation on CMRS Platform
RegRecon offers accurate regulatory reporting and can also be used as a standalone service
Hot Topics at Sifma Ops: T+2, CAT, Blockchain
Three topics kept cropping up during panels at Sifma's annual operations conference.
Sifma Ops: Panelists Compare US T+2 Move to Europe's
Panelists at Sifma Ops 2016 in Miami Beach discussed what US firms can learn from Europe's move to T+2.
Nasdaq CEO Bob Greifeld: Slow and Steady
Bob Greifeld discusses his career, HFT and blockchain with Dan DeFrancesco.
Panelists: As All-to-All Trading Inches Forward, Single-Dealer Platforms Wither
All-to-all platforms are slowly gaining favor to address some of the ills facing the fixed-income market. But they're not cure-alls, either.
Golden Copy: Invisible Rules
European firms facing contradictory directives on data disclosure and privacy
Legal Questions Abound About Cybersecurity
At NATAS, Lisa Sotto laid out the various legal regimes that oversee cybersecurity.
SEC Publishes NMS Plan for CAT, Seeks Public Comment
Regulators have six months to approve or deny the plan for the consolidated audit trail.
Machine Learning Lead Topic on NATAS C-Level Panel
Executives say AI and machine learning are some of the most important technology trends going forward.
NATAS C-Level Panel Focuses on Machine Learning
Executives say AI and machine learning are some of the most important technology trends going forward.
Alacra Integrates Companies House API Beta
Platform to integrate more data over next few months
New US President Means Big Changes for Dodd–Frank, According to CFTC Policy Advisor
CFTC's Justin Slaughter said whoever is elected the next president of the US will likely make major changes to the Dodd–Frank Act.
CFTC Policy Advisor: New US President Means Big Changes for Dodd–Frank
CFTC's Justin Slaughter said whoever is elected the next president of the US will likely make major changes to the Dodd–Frank Act.
SEC Combats Errors with Registration Fee Estimator
Regulator wants to continue adding more form types, such as 24F-2NT, the S-8 and the SF-3.
Investit Adds Alun Edwards
Edwards has over 25 years of experience in a variety of consulting areas.
de Raveschoot Named COO of Rimes' Regulatory Division
de Raveschoot has decades of experience in compliance.