Regulation
Tip of the Iceberg: The Challenges of BCBS 239
Dan DeFrancesco talks to experts about banks' progress toward meeting BCBS 239 guidelines.
Swift Expands KYC Registry
Correspondent bank service will now also address funds distribution, custody services
NRS Releases Module to Address Finra Rule 4530 on Customer Complaints
ComplianceMax (cMax) Customer Complaints Module manages, utilizes and archives info on customer complaints.
Deutsche Bank Pegged With $55 Million Fine by SEC
The SEC says Deutsche inflated the value of a portfolio of derivatives by $1.5-$3.3 bn.
ICAP Energy Selects Abide Financial for Remit Reporting
Broker's clients can delegate regulatory reporting through platform
LEI Implementations Lead to Big Benefits for All
As more companies adopt LEIs, the benefits to the financial community are growing more apparent. Two Tier-1 bank employees discuss the process of bringing on new LEIs and the value they bring to the industry.
GLEIF Readies Free LEI Data Download
File service will not require payment or registration, LEI infrastructure executive says
ESMA Board Member: Capital Market Union Shouldn't 'Reinvent the Wheel'
Konstantinos Botopoulos speaks at the 2015 Buy-Side Technology European Summit in London.
Risk Data Preparedness Low, But Rising, Survey Finds
Deloitte Global research sees increasing challenges, but more effectiveness on risk infrastructure
What BCBS 239 Means for the Industry
Dan DeFrancesco looks at the impact BCBS 239 will have on the industry.
eClerx and Comply Exchange Team up for Tax Reporting
Partnership to provide end-to-end tax operations support
Bancolombia Extends AxiomSL Solution to Fatca Reporting
Colombia's largest bank builds on provider's infrastructure to address tax law compliance
Moroccan CSD Taps LSE for UnaVista Platform
Maroclear implements trade repository technology as part of G20 post-crash reform agenda.
Bancolombia Implements AxiomSL's Fatca Solutions
Columbian-investment bank looks to keep up with regulations.
What's the rush? The CAT is a Waiting Game Worth Playing
Dan DeFrancesco talks about why showing forbearance while waiting for the CAT might be best thing for the industry.
Finra Puts the Brake on Cards
Finra CEO Richard Ketchum says regulators will not proceed with Cards proposal until concerns are addressed.
DTCC Plans Swaps Data Alignment Effort
Action will yield analysis to be provided to IOSCO's CPMI efficiency unit
Taking Steps For Cross-Border Data Harmonization
Three Canadian provinces go live this month with trade reporting for non-dealer counterparties
ESMA's High Hopes for Centralized Reporting
Delegated task is 'a milestone for a new system of financial supervision'
BoA Merrill Lynch Handed £13.2 Million Transaction Reporting Fine
Record fine handed down by UK regulator FCA for incorrect reporting of 35 million trades.
Compromise in the Cards
Industry members raise concerns as the potential implementation date for Finra's Cards comes closer
SEC’s Stein: SEC Needs Data Analysis Office
Commisioner advocates for SEC-level chief data officer to oversee data management and analysis.
DTCC Completes Move To CA Web From Legacy Systems
Corporate Actions Web service replaces PTS and PBS, adds instruction message capability