Regulation
FINRA, MSRB Push for Bond Reference Price Disclosure
Industry rulemaking bodies FINRA and the Municipal Securities Rulemaking Board are seeking comments from the industry on proposals to make bond dealers disclose same-day trade prices in the same security on trade confirmations sent to clients for retail…
Major Banks Fined Billions for FX Market Abuse
Tier-one firms collectively penalized in joint regulatory action.
Compliance, Risk Carry Equal Weight For LEI
Entity Identifier Issues Survey Finds Firms' Reasons For Operations Investments
European Union ... Of Data Regulation
Identification, Clearance and Reporting All Affected
Solvency II: Getting Ready For 2016 -- Webcast
On November 6, Inside Reference Data hosted a webcast about readiness for the deadline to comply with Solvency II capital adequacy regulation
Rethinking Investor Protection in the Central Clearing Revolution
Automation and STP are required to protect investors.
Moving Ahead With Target2-Securities
Strong Governance "Has Kept Us On Track"
ACA Enters Regulatory Tech Fray with NorthPoint Acquisition
AIFMD- & GIPS-related issues will be major areas of focus.
APFIC Issues Preview
BCBS 239, LEI Questions Featured on Agenda
AxiomSL Unveils New Regulatory Solution for Broker-Dealers
The tool addresses SEC rules 17a-5 and 15c3-1.
Reg-Room Adds Intra-Day Alerts To Tracking System
Tech Startup Increases Frequency of Updates on Proposed Regulations, Rules and Guidance
Survey: Asset Managers Turning to Back Office in Automation Push
To meet various reporting requirements, automation is necessary.
Opening Cross: Raising the ‘Standard’ in Terms of Cooperation
So, the industry may soon have a new standard protocol for market data distribution: and not simply a de facto standard co-opted based on existing uptake, but one specifically designed for market data needs that albeit incorporates the speed and…
Moroccan Depository Partners with LSE Group On LEI Allocation
Maroclear has reached an agreement for the LSE Group to provide legal entity identifier allocation services, and to access European securities settlement infrastructure
Teradata Develops Enhanced Semantic Data Service
The company's SMBBS service, used for risk data reporting requirements, will soon be complemented with accelerated data acquisition capabilities, according to officials
Reg-Room Preparing to Add Intraday Alerts to Reg-Track
New York-based technology startup Reg-Room is adding intraday alerts to its Reg-Track global regulatory tracking system to enable financial firms to receive timely updates on new and proposed rules and regulations that are tailored to their specific…
Reg-Room Readies Add Intraday Alerts for Regulatory Tracking System
New York-based technology startup Reg-Room is adding intraday alerts to its Reg-Track global regulatory tracking system to enable financial firms to receive timely updates on new and proposed rules and regulations that are tailored to their specific…
Conflicts of Perception
The race leaders for CAT, T+2 and clearing-house woes lead this week's coverage.
Frankfurt FIS 2014: For Regs, Prep Early and Coordinate
Firms must begin preparations to comply with new European and global regulation as soon as possible, setting up a priority-driven roadmap and boosting internal coordination, said panelists at this week's Frankfurt Financial Information Summit.
CAT Conundrum: SROs, Vendors Vie to Build Consolidated Audit Trail
In 2012, the US Securities and Exchange Commission passed Rule 613, requesting the industry to develop a plan to build and run a platform capable of tracking and storing information on every order, cancellation, modification and trade execution for…
FX Lobby Group Opens US Branch
Foreign exchange (FX) trade body ACI ─ Financial Markets Association has announced its expansion to the US with the opening of a new branch, ACI America.
Table-Top Crises
The US and UK roll to see who goes first in today's wargames.