Regulation
Europe Unveils Fintech Action Plan
European Commission seeks to build EU fintech lab, promote blockchain and review rules in light of emerging tech.
After Delays, Esma Publishes Double Volume Cap Data
European regulator sends a message to the market that Mifid II will be enforced with this data release, experts say.
NYSE Fined $14 Million by SEC for Reg SCI Violations
The exchange settles after multiple investigations conducted into outages and systems issues over past several years.
Mandelzis-led Fintech Capitolis Raises $29 Million, Targets Trade Finance
The company, chaired by former Thomson Reuters chief Tom Glocer, will serve as a peer-to-peer network for trade financing.
MUFG Investor Services Taps Point Nine's Middle-Office Platform to Help with Reg Reporting
The partnership is exclusive to MUFG and will also help Point Nine add pre-trade analytics to its offering.
Leumi ABL Selects Encompass to Support KYC
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
Pontus Vision Launches GDPR Compliance Tool
The London-based regtech provider's latest compliance offering focuses specifically on GDPR.
Emerging Tech Could Help Push Utilities Forward
European trade group releases report highlighting the challenges and opportunities associated with building industry utilities.
Bitcoin Futures Face Turbulent Times in the Windy City
Bitcoin conquered the world in 2017, but the performance of the futures looks like it will have to wait longer for take-off.
ECB Chief Doubles Down on CCP Brexit Debate
Mario Draghi says European authorities must have direct supervision of non-EU CCPs
GLEIF Releases Golden Copy Files In Beta
Newly released GLEIF Golden Copy Files makes the LEI data pool easier to access and process, and there are hopes it might even inspire innovation.
An Officer and a Regulation: Finding A GDPR Superstar
When the General Data Protection Regulation comes into force on May 25, most financial companies will require a data protection officer. With an entire industry racing to meet GDPR’s compliance deadline, will there be enough candidates to go around?…
Smartkarma Debuts Full Suite of Mifid II-Compliant Research Tools
Premium Service users will have access to analyst calls, financial modeling and bespoke research.
Jane Street SI Joins QuantHouse API Ecosystem
Jane Street’s systematic internalizer is now available to QuantHouse’s API clients.
US and UK Regulators Join Forces on Fintech
FCA and CFTC sign agreement on fintech initiatives for cross-Atlantic firms.
Five Things to Consider About Crypto SROs
The idea of self-regulation makes for a good soundbite, but the practicality of the matter leaves much to be desired.
CFTC’s TAC Gives Little Insight on Reg AT’s Fate
The Technology Advisory Committee didn't have much to say about Reg AT as commissioners Quintenz and Behnam appear to disagree on how to proceed.
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.
FCA Releases Review of Algo Trading
UK regulator provides effective "how-to" guide for compliance.
FactSet Pairs its OEMS with CG Blockchain's Distributed Ledger
This is an early-adoption example of an OEMS being coupled with tools on a live blockchain.
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.
Internal Dilemmas: Investing in Bitcoin & Clear Consciences
According to one estimate, the global bitcoin network will require more electricity than what is required to power the entire US by July 2019.