Audit
Get the Pitchforks
While no one involved in the building of the stalled Consolidated Audit Trail is free from blame, Anthony says there are reasons to believe the CAT won’t ever materialize, regardless of the plan processor.
Vendors Prep for Initial Margin Big Bang
Tech providers are emerging from all corners as the final phases of initial margin rules closes in, which are expected to capture over 1,000 buy-side and sell-side firms over the next 18 months.
Tech Releases Surge Ahead of Initial Margin Deadlines
The final phases of initial margin rules are expected to capture over the next two years more than 1,000 buy-side and sell-side firms, which technology providers see as potential customers.
Encompass Adds Bisnode for KYC
The integrated offering will enable Nordic institutions to automate KYC and customer onboarding processes more effectively.
CAT Roll-Out Smooth, but System Still Needs Work
There were no major hiccups when the CAT was rolled-out to SROs on November 15 but it is still not ready for full industry implementation.
After Delays, CAT Reporting Begins Tomorrow
The Consolidated Audit Trail will begin receiving reports on November 15, a year after it was supposed to start.
BBOD, GMEX Launch Hybrid Cryptocurrency Derivatives Platform
Joint venture offers institutional investors the benefits of a high-speed centralized trading platform for cryptocurrency futures contracts.
Achieving Regulatory Compliance Through Innovation
IMD/IRD Awards 2018 Winners' Circle
Northern Trust Pushes Forward with Private-Equity Blockchain
Two firms are already live on the platform, with another three soon to be up and running.
Location, Location, Location
The Australian Securities Exchange outlines key considerations for firms weighing up their choice of co-location facility.
Getting Ready for CAT
While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…
Tora Targets Best Execution with AI-Powered Algo Picker
AlgoWheel will use machine learning to determine best method of execution.
Leumi ABL Selects Encompass to Support KYC
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
FSB Warns Artificial Intelligence Could Present Systemic Risks
Emerging technology could fall outside the regulatory perimeter, and could be impossible for outsiders to fully comprehend.
Thomson Reuters Adds Audit Management Tools to Connected Risk
New functions aim to help audit professionals improve efficiency in the audit process.
SimCorp and TS Ally for OEMS Offering
Companies link workflows for execution and order management systems.
Waters Rankings 2017: Best Outsourcing Service Provider—Electra Information Systems
Electra answers the problem of managing huge amounts of data through its Electra Data solution.
J&J Bows Managed Data Reporting, Compliance Tool
New York-based market data and management consultancy Jordan & Jordan has unveiled a new managed service for automating exchange and vendor data reporting requirements, dubbed Market Data Reporting (MDR), which is designed to help clients comply with the…
JCV Lets Web-Based ‘Genie’ Audit Tool Out of Bottle
Audit specialist debuts web tool for exchanges to reconcile declarations and reports to support remote audits
Audit Trail or Snail Trail?
A consolidated audit trail might sound good on paper, but as Max discovers, the SEC’s proposal has failed to impress many in the industry. However, while cost is a major factor, the critics might at least look to invest in some sturdy lightning rods.
