Standards
Lombard Risk Releases Compliance Tool
David Wilford has been tapped to head the dedicated product team, as well as future compliance endeavors.
Advise Reporting Tools Made Available on Abacus Private Cloud
Consensus RMS is used to file regulatory forms requiring high granularity, like Form PF.
Where Next for Risk and Compliance?
While tools and trinkets are pretty, the key to proper regulatory compliance is attitude and information.
Risk and Compliance webcast
Waters gathered leading industry experts for a webcast on November 8, 2012 to discuss how firms are working towards a tightening of risk management frameworks to deliver near-real-time, enterprise-wide risk views
Can Vendors Ease Compliance Burden?
As yet another regulatory reform takes effect—the European Securities and Markets Authority's regulation on short selling—Imagine Software's Brian Miranda says firms are struggling under the weight of it all.
Dion Launches X-Gen 4 for STP
Dion Global Solutions has launched the latest version of its business process engine X-Gen.
Fifty Percent Not Preparing for T+2, Says Omgeo Survey
A study conducted by post-trade specialist Omgeo has found that half of the respondents are not preparing for a shortening of trade settlement cycles, despite an impending legislative requirement in Europe to do so.
Pricing Partners Enhances Credit Risk Engine
Analytics and valuations provider Pricing Partners has announced the addition of value-at-risk (VaR) assessments to its credit valuation adjustment (CVA) software.
With Redkite Acquisition, NICE Gains Real-Time Surveillance Capabilities
Compliance software vendor NICE Actimize has acquired Redkite Financial Markets, a provider of cloud-based surveillance technology, in a deal that completed earlier this week.
Tradeweb Launches ETF Platform
Multilateral Trading Facility (MTF) operator Tradeweb has announced the launch of a multi-dealer-to-client platform for exchange-traded funds.
Advise Expands Reporting Solution for CPOs and CTAs
The modules will help commodity pool operators and commodity trading advisers stay compliant with upcoming reporting deadlines.
Investit's Doherty Suggests Thematic Approach to 'Regulatory Crush'
Catherine Doherty, global CEO of London-based consultancy Investit, says investment firms must not get bogged down in the detail of proposed regulations.
Cost Basis Challenges Find Firms Tackling Reporting Earlier
Even while the industry moves past phase II of the cost basis reporting mandate and look towards fixed income and options reporting in 2014, manual corrections and transfers processing remain top among firms' concerns.
FSA's Sampson: Data Accuracy Trumps Speed
Gerald Sampson, head of the operational risk review team at the UK's Financial Services Authority (FSA), says banks should be more concerned about accuracy of data than risk aggregation speed.
eBX Fined for Information Leakage
The US Securities and Exchange Commission (SEC) has fined dark pool operator eBX for failing to protect confidential information.
Fenergo Adds Auto-Classification to Fatca Service
The lifecycle management systems provider expects a 60% reduction in Fatca filing efforts through use of its compliance service
Ed Flynn on Data Budgets and Regulation at Inside Market Data Chicago
Ed Flynn, principal of consultancy The Flynndex Company, discusses end-user data budget trends and the impact of new regulation on data consumption, after moderating the opening panel at Inside Market Data Chicago 2012.
Natterbox to Provide Mobile Call Recording to Orange
The network-based solution requires no apps or software.
WSE Taps SunGard's Surveillance Technology for Trading Platform Upgrade
Warsaw Stock Exchange (WSE) will use SunGard's Protegent and Valdi software to monitor market abuse, as the securities and commodities exchange prepares to switch trading platforms.
Sense and Sensitivity
Although compliance spend is skyrocketing upwards in advance of new regulations, and there are technical revamps involved, a lot of the processes involved are described as common sense by many. Despite this, there's still an element of over-reach to some…
FOA Provides Risk Management Guidelines for ESMA Compliance
The Futures and Options Association (FOA), a pan-industry representative body for firms engaged in the trading of derivatives, has published a set of guidelines aimed at providing granular detail for recent European Securities and Markets Authority (ESMA…
MoneyMate Solvency II Offering Reduces Permission Tedium
The investment data management services provider is ready to roll out a reporting utility that manages the multiple permissions needed for handling Solvency II compliance data