Regulation
With Focus on CLOs, Volcker 'Covered Fund' Tool Helps Banks Bridge Pre-Trade, Compliance
New demand among banks for standardized treatment under Volcker.
With Focus on CLOs, Volcker 'Covered Fund' Tool Helps Banks Bridge Pre-Trade, Compliance
New demand among banks for standardized treatment under Volcker.
OTC Derivatives Trade Reporting Costs 'Will Rise'
Survey finds investment banks have already spent an average of $25 million
SEC Taps Kx Systems for Data Analysis
The database will help the SEC analyze large amounts of data.
S&P Capital IQ Adds Intraday Muni Pricing to its Suite of Services
The rollout will help clients manage new calculation requirements.
S&P Capital IQ Rolls Out Muni Bond Pricing Service
The rollout will help clients manage new calculation requirements.
Athena Capital Picks SGSS for AIFMD Reporting
Reporting tool is part of full suite chosen by investment manager
Future Could Hold Worldwide Adoption of Fatca-Type Regulations
As Fatca passes its one year anniversary, some believe other regulators could follow suit.
SEC Commissioner Aguilar Calls For Expansion of Reg SCI
In a recent speech, SEC commissioner Luis Aguilar says Reg SCI needs to be applied to more areas of the capital markets.
Copenhagen Reg Roadshow Panels: Know Your Data for Licensing, Storage to Avoid Compliance Issues
To tackle regulatory data requirements, firms must first fully understand their data usage.
Don't Hold Your Breath on T+2 Arriving in 2017
The US market will eventually move to T+2 but Anthony says that that happening by Q3 2017 is ambitious.
Wider Monitoring Key as Finra Doubles Down on Suitability
A bevy of new products are now in focus as Finra's latest examination priorities once again highlight suitability.
DTCC's John Abel Chats About T+2 ISC's Proposed Timeline for T+2 Shift
Abel gives his thoughts on the release of T+2 ISC's white paper and the proposed timeline.
OTC Derivatives Regulation: Sorting Out The Processes -- Webcast
Archive recording of a June 18 webcast covering OTC derivatives regulation and its effect on data processes
T+2 ISC Announces Proposed Timeline for T+2 Shift in US, Sets Q3 2017 Goal
Committee releases white paper that outlines timeline and requirements necessary for shift to T+2.
'40 Act Compliance in Focus as Funds Introduce New Liquid Alts
Flexible reporting tools required as regulators consider further oversight.
StatPro Releases Solution for Australian Pension Funds
StatPro Revolution calculates the standard risk measure value for funds using a forward-looking methodology.
The Regulatory Horse Race
Anthony looks to equate horse racing to regulatory oversight.
DTCC Taps Risk Focus for ESMA Level 2 Rules Coverage
DTCC will use Validate.Trade engine internally for its pre-UAT testing for its Global Trade Repository service.
AcadiaSoft Aims at Looming Margin Rules with MarginSphere 2 Rollout
The new rules go into effect on September 1, 2016.
NRI Offers Japanese Banks Data Management Framework for BCBS 239 Compliance
NRI is partnering with EDM Council to help Japanese firms meet the risk data aggregation requirements of the Basel Committee's guidelines.
SEC Proposed Rule to Modernize, Extend Systemic Risk Reporting for Mutual Funds
Two new forms, Form N-Port and N-Cen, are at the heart of a new set of rules proposed by the SEC.
ESMA Hammering Out Liquidity Calculations
European regulators considering how to classify non-equity instruments
SEC 15b9-1: Shots Across the Bow
Finra registration could push some options HFTs to the brink.