Regulation
James Rundle: Ahead of the Curve
James sees recent pushes by the sell side toward embracing new technologies as a sign that a more intelligent approach is being taken, both by regulators and by banks.
European Firms Grapple with Algo-Tagging Rules
Although the flagging and tagging of algorithms is only currently required in Germany, under the German HFT Act, it is slowly making its way into Pan-European law. Marina Daras looks at the German rule to see how the algo labeling requirement under Mifir…
SROs Deploy Advanced Tech to Keep Up with Members
Self-regulatory organizations can’t tap into company profits like banks, nor can they rely on taxpayer funding like government regulators. Still, using only membership dues, they must carry out their registration and surveillance functions of national…
Fatca: Crunch Time -- Webcast
On May 28, Inside Reference Data hosted a webcast about US Fatca tax withholding regulation, in which four experts in the field discussed industry readiness for an impending July 1 deadline
Thomson Reuters To Monitor Fatca Grandfathered Instruments
The data provider will alert users if an instrument loses its exemption from tax withholding under Fatca as a result of one of six possible types of material modifications
Esma Opens Consultation on Mifid II, Refines HFT Scope
The European Securities and Markets Authority (Esma) has opened its consultation on the review of the Markets in Financial Instruments Directive (Mifid II) and Regulation (Mifir), the two most important pieces of legislation issued by European…
Lessons from the Buy Side
Conferences from our sister brand have resonance for Sell-Side Technology's readership, this week.
Esma Opens Consultation on Mifid II, Refines HFT Scope
The European Securities and Markets Authority (Esma) has opened its consultation on the review of the Markets in Financial Instruments Directive (Mifid II) and Regulation (Mifir), the two most important pieces of legislation issued by European…
FINRA Begins Migration of Market Surveillance Apps to Amazon Cloud, Adopts Big Data Tech
US financial industry regulator FINRA is migrating all of its market surveillance platforms into the Amazon Web Services cloud, to enable the regulator to more efficiently store and process data, in a move that could deliver an annual cost saving of 40…
Finra CIO: Our New Technology Will Lead to More Focused Surveillance
Finra's CIO Steve Randich explained how its new systems of data collection and analysis will lead to a more focused and efficient way of monitoring broker-dealers and ensuring regulatory compliance, during the North American Financial Information Summit…
OFR's Reed Sheds Light on LEI's Omission from Fatca
Matthew Reed, of the Office of Financial Research and Regulatory Oversight Committee of the legal entity identifier project, says the LEI was not ready when the Internal Revenue Service made key decisions about Fatca, but suggests it will be added in the…
Citi Reaps Benefits of LEI, Despite Limited Coverage
At this week's North American Financial Information Summit in New York, Citi's head of entity data operations explained how the legal entity identifier has helped the bank improve standardization and increase the number of attributes held in client…
ESMA Outlines Potential Options for ‘Reasonable' Post-Trade Data
European financial regulator the European Securities and Markets Authority (ESMA) released a consultation paper today, Thursday, May 22, that outlines proposed technical details for the second iteration of the Markets in Financial Instruments Directive …
NAFIS 2014 Live: Regulatory Landscape Challenges
Inside Reference Data editor Michael Shashoua reported live via Twitter on the first panel in the reference data stream of the North American Financial Information Summit on May 21
Getting the Vote Out
Various polls in Europe and beyond lead this week's coverage, along with Icap's SEF debut and a pair of big Nasdaq stories.
BCBS 239 Wasn't The Start of Risk Data Aggregation
Experienced data executives consider whether BCBS 239 risk data aggregation guidelines have an unrealistic deadline or are behind what the industry already has ready for compliance
Icap Launches UK-Based SEF
Interdealer broker Icap has officially launched its London-based swap execution facility (SEF), IGDL.
One Small Step for Esma
In his Association for Financial Markets in Europe (Afme) conference keynote speech last week, Steven Maijoor, the European Securities Markets Authority (Esma) chair took to the stage, and told those present that the legislative phase of European market…
Fatca special report
May 2014 - sponsored by: Actimize, SIX Financial Information, Thomson Reuters
Getting A Full Report
Demand for more complete and well-prepared data reporting could lead one to consider collaborative efforts that point the way to better data reporting
Managing European Reporting
As the implementation of EMIR continues, financial firms must analyze their ability to comply with valuation and collateral reporting requirements coming into effect in August, writes Nicholas Hamilton
Grains of Truth
Demand for granular data is being driven by global regulation and standards efforts. Michael Shashoua covers some Asia-Pacific viewpoints about the reporting demands that these rules create, and their built-in jurisdictional issues
Seeking Solvency II Surety
Implementation of Solvency II in January 2016 has been confirmed, but many of the data challenges are unresolved. Susan Wright of the Investment Management Association tells Nicholas Hamilton that asset managers, third-party administrators and insurers…