Regulations
FCA to Prioritize Cybersecurity and Innovation amid Brexit
Watchdog releases its annual business plan for 2018 and 2019, with innovation and Brexit listed as clear points of focus.
Trade Bodies Release Framework for Penetration Testing
Guidelines seek to establish best practices for a key cybersecurity measure.
Nasdaq BWise Aims to Quantify Regulatory Risk with Policy Tracking Platform
Product offers augmented regulatory tracking in first phase, will expand to track enforcement actions in the future.
Bank of England Announces New Fintech Hub
The latest UK initiative aims to support emerging technologies and innovation for UK fintech sector.
Encompass Opens in Hong Kong to Support Growth in Asia
Hong Kong, China, Singapore and Japan driving demand for automated KYC solutions.
Prop Shops Lock On to Crypto Markets
As the sell side hesitates, advanced principal trading shops are getting in on the crypto craze in a big way.
March 2018: Regulatory Watchdogs Show Their Teeth
After some questioned ESMA's resolve, the regulator is stepping up its enforcement efforts. Max reviews how ESMA wants market participants to know that its bite can be worse than its bark.
Esma Probes APAs Amid Mifid Trade Data Issues
Approved Publication Arrangements—a critical component in the new Mifid II European markets regulation—may be falling short of their requirements under the new transparency rules, and have drawn Esma’s attention. By Samuel Wilkes, with additional…
Industry Criticizes Equivalence Measures in Europe’s Brexit Stance
Experts welcome transitional relief but say equivalence is not an appropriate basis for free-trade agreements.
Duco Taps Trostinsky to Oversee Hybrid SaaS Software
Duco’s new hire Julian Trostinsky will take ownership of Hybrid SaaS and oversee the newest edition of Duco Cube.
Bitfinex Bolsters Surveillance Capabilities with Irisium Platform
Irisium Surveillance will help the bitcoin exchange to better monitor for volume manipulation, wash-trading and fake liquidity.
Publicis.Sapient Adds NPL Support to European DataWarehouse
Publicis.Sapient’s latest additions to the European DataWarehouse support EBA-mandated data templates for non-performing loans, making the asset class more transparent and accessible.
CLS Launches FX Reporting System
CLS plans to fully integrate CLSReporting, a new FX matched instruction service, in Q2 of 2018.
Risk Focus Appoints Harding and Hair as Sales Directors
New York-based pair will lead sales in cloud, DevOps and financial services for vendor.
Leumi ABL Selects Encompass to Support KYC
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
US and UK Regulators Join Forces on Fintech
FCA and CFTC sign agreement on fintech initiatives for cross-Atlantic firms.
US Regulators Risk Falling Behind in Fintech
Blockchain consortium exec says agencies should be doing more with fintech firms.
UPDATE: AxiomSL Drives Industry Collaboration On Open Taxonomy for MAS 610
AxiomSL has convened an industry group to help devise a taxonomy that will simplify compliance reporting for the revised Monetary Authority of Singapore 601 update.
AIC’s Sayers: FCA KIDs Clarification ‘Very Helpful’
The Association of Investment Companies CEO says an FCA statement on Key Information Documents attached to Priips helps, but does not solve, the KIDs’ fundamental problem with overly optimistic projections.
Malaysia and Singapore to Establish Trading Link
The exchanges and central banks of both countries will iron out details in the coming months for it to be operational by year-end.
Europe’s Mifid Monster Lurches to Life
January 3 went smoothly for many, but the launch of Europe's far-reaching reform package wasn't without problems.
Opus Launches Anti-Corruption Platform
The product is designed to help simplify the process of navigating third-party risk in other countries.
Roger Worthington to Head AxiomSL’s New Product Ops Team
Worthington has more than two decades’ experience building and managing shared infrastructure.
TradeData Bows Historical Symbology Archive for Regulatory Analysis
Euromoney TradaData’s Forensyx service helps regulators investigate historical transaction reports.