Regulation
Regulatory Interest in AI for Surveillance Increasing
Regulators are more engaged with meeting with fintech firms to understand how they can work with AI for compliance.
Regulators Warn on Phishing Scams
Increasingly sophisticated schemes are targeting firms and individuals, watchdogs say.
The Future of Blockchain-Based KYC Utilities
Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…
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.
The EU and US Are Playing a Dangerous Game
Bickering between regulators rarely helps anything, but power plays involving CCPs are even less helpful.
Data Drives Joint Regulatory Reporting Service From Elixirr and Kaizen
Tie-up aims to deliver a comprehensive transaction reporting remediation solution.
Rimes Targets Market Surveillance with New Regtech Offering
Vendor expands RegFocus platform with surveillance capabilities designed to detect suspicious trading behavior.
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.
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…
UK Strengthens Fintech Strategy with Australia Pact, Crypto Taskforce
The UK's fintech industry receives a major boost as it forms alliance with Australia and launches a new crypto asset task force.
Waters Wavelength Podcast Episode 114: A Recap of FIA Boca - Blockchain, Crypto, AI, Brexit
WatersTechnology attended the Futures Industry Association's annual conference in Boca Raton, Florida. These are the takeaways.
Wrestling Over Competing Mifid II, GDPR Data Demands
The data gathering, retention and reporting requirements of Mifid II seem at odds with the enhanced personal data protection rules of the GDPR. But with careful consideration, financial institutions can balance their regulatory obligations under the two…
Light at the End of the Tunnel, But Will Mifid Dark Pool Rules Add Up?
Esma has released the first figures to support Mifid II’s caps on the percentage of equities trading that can be transacted on dark pools. However, critics warn that although the delay has given Esma more time to validate data and clean up queries, the…
HSBC Invests in Visible Alpha
Visible Alpha is launching a research advisory board to guide its products and services development.
Eze Connects with NEX for Trade Reporting
Software vendor expands partnership with NEX APA for transparency requirements under Mifid II.
Risk Focus Bows Advisory Services
Formal launch of Regulatory Reporting Advisory service, while Apix is chosen to power Xignite’s CloudAddin.
Digital Reasoning Looks Beyond Conduct with $30 Million Funding
AI specialist will use the funds to spread its reach into other areas.
Brown Brothers Harriman Releases Secondary-NAV Tool for Administrator Oversight
The firm has bolstered its middle-office outsourcing tools with the release of InfoNAV and aims to include AI features in the future.
CFTC Commissioners Lash Out at EC Clearing Proposals
The push to expand oversight of US CCPs is “a clear breach” of 2016 equivalence deal, Quintenz says.
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.
For Central Banks, Digital Currency Risks May Outweigh Benefits
CPMI's report says existing technology is sufficient at present to deliver the benefits of digital currencies, without introducing new risks.
Waters Wavelength Podcast Episode 112: A Look at How Fintechs are Being Disruptive
The past two weeks have seen some major announcements that point to fintechs being even more disruptive than in years past.