Standards
FSA, CFTC Fine Barclays Almost $300M for LIBOR, EURIBOR Manipulation
Authorities impose fines for bank's attempts to abuse benchmark price-setting process
Back Offices Under Pressure in Drive Toward T+2
Regulators on both sides of the Atlantic are squeezing the settlement process.
Société Générale Implements FRSGlobal for Asian Regulations
Technology from Wolters Kluwer Financial Services automates bank's regulatory returns.
Wells Fargo Targets Contracts, Compliance
Steve Listhaus, head of market data services at Wells Fargo, outlines the bank's new efforts around negotiating contracts for data services, and market data compliance.
Redkite Deploys Surveillance Solution on Options Pipe
The private cloud by Options IT will carry Redkite's fully compliant solution.
Linedata Beauchamp Enhanced to Meet Hong Kong Short Position Rules
Move comes ahead of new rules soon to be implemented by the Hong Kong Securities and Futures Commission.
Automated CBR Software Helps Investors Count Their (Tax) Losses
In May, the IRS delayed the implementation for cost-basis reporting for fixed-income instruments—but shoring up financial firms' tax knowledge and solutions should be done now.
Emerging Markets See Strength in Numbers for Data Distribution
With investor interest in emerging markets still strong, emerging market exchanges are using alliances with their peers and with established exchanges and technology providers, and technology standards to expand their international reach.
DST Global Solutions Responds to Chinese Regulation
The vendor's HiPortfolio platform has been adapted following China's RMB Qualified Foreign Institutional Investor regulations.
Orange Amps Up TCSnet for Dodd-Frank Compliance
Connectivity and functionality updates bring Trad-X onto service.
Regulation & Compliance special report
June 2012 - sponsored by: NICE Actimize, Omgeo, SIX Financial Information
Big Brother Is Watching: Compliance Envelops the Business
As regulatory reform and an enhanced level of scrutiny falls on practices within investment banks, compliance departments are finding themselves increasingly involved with all areas of a business. In this era of a more proactive approach to oversight,…
Progress Issues Latest Surveillance and Monitoring Release
The new Apama solution has capabilities to support the latest ESMA guidelines, among others.
Paladyne Adds HK Regulatory Requirements
Portfolio Master now meets regulator's mandates for fund manager short positions.
SunGard Upgrades Surveillance to Comply with ESMA
SunGard's Protegent has an enriched rules library to ensure market abuse can be surveilled in real time.
NICE Actimize Unveils Fatca Compliance Solution
Firms will have to be compliant with Fatca legislation by January or July of 2013, depending on their national status.
Lone Pine Turns to SS&C For Form PF Support
Asset manager is using SS&C's web-enabled Form PF application to help comply with Form PF requirements.
New Trading Surveillance Offering from Kinetic-Redkite Alliance
The partnership will help firms respond to regulatory pressure to adopt automated, real-time trade monitoring and surveillance practices.
CFTC Extends Deadline for Swaps, SEF Regulation Implementation
The regulator's order, providing an additional six months from previously, will see parts of Dodd-Frank Title VII implemented by December 31 of this year.
Anticipating Hong Kong Short Positions Reporting Rules, ConvergEx Updates OMS
The rules, set to be implemented in June, provide more stringent standards for weekly reporting of net short positions on Hong Kong Stock Exchange-listed firms.
Cinnober Debuts Scila Compliance
New software for brokers and investment banks combines compliance with performance measurement.
Finra Fines Sell-Side Firms for Lacking 'Adequate Supervisory Systems'
Self-regulatory body says Citi, Morgan Stanley, UBS, and Wells Fargo did not have sufficient knowledge of leveraged and inverse ETFs they were selling.
State Street Releases Opera Reporting Solution
With the release of the industry risk aggregation protocol, State Street has announced a new compliant reporting solution.
NICE Actimize Unveils Hedge Fund Compliance Solution
Hedge funds can now benefit from NICE Actimize's non-compliance detection models.