Regulation
AxiomSL Addresses Basel III Liquidity Requirements
AxiomSL has added a new configuration to its reporting platform that allows users to meet new Basel III liquidity requirements.
OneChicago Names Barazi to Parse CFTC, SEC Rules
Last week, all-electronic security futures exchange OneChicago introduced Waseem Barazi as its chief regulatory officer. Barazi spoke with Sell-Side Technology about the appointment.
APFIC Keynote: Regulations Require Standards Collaboration
The financial industry must collaborate on standards and standardized processes if it is to successfully manage the challenges and costs of compliance with the data aspects of the current flood of new regulations─and get ahead of future rules─said Nick…
Opening Cross: When You Look East, Look Up and Look Out
Regulation dominated the agenda at last week's Asia-Pacific Financial Information Conference. But is the region ready for the data management implications of new global and regional requirements?
Novel Monitoring Techniques Could ID the Next SAC Capital
SAC Capital was hit with a record-breaking fine as part of an agreement with the government to settle a massive investigation into insider trading at Steve Cohen's hedge fund. The case has brought trade and communication monitoring to the forefront.
Panel: Grasp Opportunities of Regulatory Complexities
The raft of current and upcoming regulations is creating opportunities as well as challenges for trading and investment firms in the Asia-Pacific region, though many outside of the largest firms are still not prepared for the data complexities and…
APFIC Keynote: Regulations Require Standards Collaboration
The financial industry must collaborate on standards and standardized processes if it is to successfully manage the challenges and costs of compliance with the data aspects of the current flood of new regulations─and get ahead of future rules─said Nick…
IDC Adds Data on Fatca Withholding Obligations
The data and pricing vendor is helping clients prepare for the US anti-tax evasion regulation by identifying instruments that are generating US-sourced income
Mercer Up with Milestone in Australia
Mercer, which in the Asia-Pacific focuses on superannuation, investments, and financial advisory, has adopted Milestone's regulatory oversight service ahead of new Australian Prudential Regulation Authority (APRA) superannuation fund reporting…
Irish, Dutch Pre-LEI Data Added to Consolidated Files
Data from the Irish and Dutch pre-local operating units is now being included in the consolidated files of pre-legal entity identifier data available from the P-LEI.org website
CFTC Gives CME SEF Approval
The US Commodity Futures Trading Commission (CFTC) has issued a notice of temporary registration to operate as a swap execution facility (SEF) to the Chicago Mercantile Exchange (CME).
The March of LEI Progress
The legal entity identifier still has its hurdles to clear for full implementation, as panelists in an October 18 webcast acknowledge. Michael Shashoua reports their concerns about private-public cooperation, federated system structure and onboarding and…
Dealing With Data Dichotomies
The gap between what is required by regulations and what can realistically be achieved is becoming apparent
Aquis Exchange Gets FCA Approval to Operate as MTF
Pan-European trading exchange Aquis Exchange has received the UK Financial Conduct Authority (FCA) approval to operate as a multilateral trading facility (MTF).
South African CSDs Create Collateral Management Industry Forum
South African central securities depository (CSD) Strate, and Deutsche Börse’s Clearstream international CSD have announced the creation of a Collateral Management Industry Forum for the South African financial market.
Tora Adds Short Sale Functionality to Compass to Address New Regs
To address new rules from the Japanese Financial Services Agency (JFSA), Asia-focused buy-side technology vendor Tora has enhanced its Compass solution to allow buy-side firms to stay compliant with a new short-selling mandate.
State Street's Saul: FIBO is Adding Transparency, Reducing Risk
State Street's David Saul has put himself right in the middle of efforts to promote the FIBO ontology as a means to reduce risk through better data management. He speaks with Michael Shashoua about FIBO's progress and the virtues of "smart data"
Towards Transparent Pricing
Increased transparency is a common goal of regulators who are shaking up the financial industry. When experts in pricing and valuations took part in a panel discussion at the European Financial Information Summit, they explained what these new regulatory…
Allianz Exec: Acquiring pre-LEIs For Funds Poses Challenges
An IT expert at Allianz Global Investors outlined the challenges of acquiring pre-legal entity identifiers for large numbers of funds and said his firm plans to use a combination of proprietary and vendor technology to integrate the identifiers, at the…
Data Governance Challenges on the Buy Side
Steve Cheng, Rimes Technologies, talks to Waters at the Rimes Data Governance Conference in London, about data governance on the buy side.
Bafin 'Mindful' of EMIR Reporting Challenges
A representative of the German regulator said it is aware of the challenges firms face to comply with the European Market Infrastructure Regulation, which were highlighted by speakers from the buy- and sell-side at the Frankfurt Financial Information…
Omgeo Pairs with TriOptima, AcadiaSoft for Collateral Management
Industry utility Omgeo announced that it is teaming with TriOptima to beef up its derivative reconciliations capabilities, and with AcadiaSoft for its margin affirmation communication solution.
LEI Progress & What It Means For Data Management -- webcast
Inside Reference Data gathered leading industry experts for a webcast on October 18, 2013 to discuss recent efforts by financial trading firms implementing the global legal entity identifier (LEI), and what these developments mean for managing new…