Regulation
JPMorgan Fined $30 Million by SFC for Dark Pool Failings
Inadequate implementation of dark pool venue systems and controls in breach of Hong Kong regulator’s rules.
As Regulatory Reporting Demands Increase, Agility is Key, Say Panelists
At Waters USA 2015, panelists discussed how technology can help to address regulatory requirements and also shared their views on IT costs associated with compliance.
Golden Copy: Basel Sequel Fatigue
The prospect of a 'Basel IV' has many wondering about several issues still outstanding with Basel III
A Victory for Transparency
DTCC welcomes repeal of Dodd-Frank indemnification provisions
Diliger Adds Know-Your-Vendor Compliance Data to Procurement Platform
The additions to vendor surveys will help firms comply with vendor risk requirements.
ING Joins Swift KYC Registry
Dutch global firm will provide correspondent banking information
Pulling the Data Quality Thread In Data Governance
Granularity of data proving important in multiple governance and compliance efforts
Asset Managers Prepare For Imminent Solvency II Deadline
Weighing whether insurance industry reporting requirement can yield opportunities
European Regulation Spurring Data Value Discoveries
MiFID II, Basel III, EMIR and more are pushing firms to seek overlap in meeting compliance demands, finding common ground in data
FRTB Benefits Revealed
Basel Committee's Fundamental Review of the Trading Book (FRTB) standard, replacing VaR, provides better support for stress testing
European Regulation: Down to the Wire -- Webcast
Archive recording of November 25 webcast on European regulatory issues in relation to data operations
Michael Shashoua: Question Time for Mifid II Opponents
The industry’s likely successful effort to postpone Mifid II’s compliance deadline by a year to January 2018 is only a temporary salve for a lack of effort on straightening out data management, which could have made the lobbying unnecessary, Michael…
All Roads Lead to Rome: Navigating IFRS 9
While IFRS 9’s development started before the full grip of the financial crisis took hold in the fall of 2008, in the wake of the collapse, it became clear that banks needed to do a better job of measuring and monitoring their credit losses. This new…
Fixing Benchmarks: The Impact of EU Benchmark Regs on the Buy Side
Buy-side firms that blend benchmarks in-house and therefore qualify as administrators are watching EU regulations carefully.
CFTC Publishes New Wide-Ranging Automated Trading Rule For Futures
Pre-trade checks, venue development standards, prop shop registration highlight Regulation AT.
ETAS Panel: Don't Assume Delays on MiFID 2
Users should still plan to be compliant by the originally scheduled dates, panelists warned.
London Stock Exchange Unveils New Investor Relationship Management Tools
LSEG has gone live with its new Elite Connect investor relationship management platform.
Algo Testing a Major Concern Under MiFID II, ETAS Panelists Say
Clarity of definitions and testing environments are still major hurdles for firms' MiFID II readiness, panelists say.
Algo Testing a Major Concern Under MiFID II, ETAS Panelists Say
Clarity of definitions and testing environments are still major hurdles for firms' MiFID II readiness, panelists say.
Cattolica Assicurazioni Selects GoldenSource for Solvency II
Market data solution provides price transparency for reporting
Spoofing: Defining the Indefinable
Dan DeFrancesco looks at the recent spoofing verdict and discusses, with some perspectives of those in the industry, why it’s such a difficult thing to define.
Regulation special report
An Inside Reference Data special report on the effect of regulation on data operations finds an increase in the possibility of getting more data at higher quality
Is MiFID II Deadline Delay Justified?
Firms seemingly still have enough time to prepare for January 2017
Catch Me If You Can: Chasing Spoofers in the Tech Age
After a few high-profile court decisions, regulator are taking aim at spoofing. While still an up-hill battle, technology is helping to lead the way.