Compliance
Banks Increasingly Using Market-Abuse Systems for #MeToo
The Senior Managers Regime and #MeToo campaigns are making banks increasingly conscious of employee conduct
MAR and Mifid II Compliance: Consequences for Trade Surveillance
The implementation of Mifid II in January 2018, along with the existing Market Abuse Regulation (MAR) introduced new responsibilities and obligations for market participants
Gaining value from data through science and engineering
How much time do data scientists, analysts and quants spend doing the jobs they're employed to do? In the vast majority of cases, not enough
Additional ISIN Use Cases in the Works
A DSB consultation shows an appetite for expanding identifiers for OTC derivatives.
UMB Integrates Temenos Multifonds for ETF Valuations
The integration looks to modernize and automate UMB's exchange-trade funds business.
Illuminated Data: SFTR May Reach Too Far
While waiting for the regulators’ final word on SFTR’s technical specifications, SFT market participants and counterparties are planning their compliance strategies amid concern that the regulation goes too far in its goal to bring shadow banking into…
SI Rules Switch from Optional to Mandatory Sept. 1
Half of the systematic internalizer obligations will soon become compulsory.
Barclays Leads Pack on $14 Million Funding Round for Cloud9 Platform
The platform aims to modernize communications among counterparties and deliver sophisticated data analytics.
The Last Man Standing Has Just Fallen
The Waters view on Charles River's acquisition by State Street.
Open Platform: How Financial Firms Can Minimize GDPR Risk
CompliancePoint's Greg Sparrow advises financial firms how to avoid hefty fines resulting from GDPR non-compliance.
Thomson Reuters Survey: Firms More Receptive to Public Clouds
Survey finds 90 percent of firms expect to use public clouds for their market data needs within four years.
TFITS Panel: How Data Management Challenges Are Changing
Panelists at the Tokyo Financial Information & Technology Summit highlight data management challenges, particularly as IT and business teams become more integrated.
Code Red: Trading Firms Turn to AI for System Stability
As IT systems are buckling under the pressure of modern day trading volumes and regulatory requirements, some firms are turning to AI to predict and minimize outages.
Keeping Data on the Radar: BCBS 239 Principles Still a Work in Progress
As the January 2016 deadline passes the 2.5-year mark, regulators are sounding the alarm about a lack of compliance with BCBS 239's 14 RDARR principles as banks grapple with the meaning of data governance. Amelia Axelsen talks with data experts about why…
Bad Blood: Regulators Lose Patience with Mifid II’s Dirty Data
Problems and bad practices continue to plague Europe's vision of a new transparency regime. An inside look.
Dark Trading Caps Not Responsible for Periodic Auction Growth, Study Finds
FCA report find that growth in periodic auction trading is not a result of dark-trading bans.
Digital Reasoning Readies Public Release of Model-Training Platform
To solve the old needle-in-a-haystack problem, Digital Reasoning is developing a tool dubbed Cognition to improve the training process for machine-learning models.
Compliance firm Steele Acquires TransparINT
The deal brings artificial intelligence and machine learning capabilities for anti-money laundering monitoring to Steele.
Fenergo Taps Ex-RBC Asset Manager Specialist to Lead New Buy-Side Unit
O'Neill will be responsible for growing takeup of the vendor's compliance and onboarding technologies among buy-side firms.
LSEG Acquires Minority Share in AcadiaSoft
LSEG is looking to improve its non-clearing services with this latest deal.
Archax Launches Institutional Crypto Exchange
Startup targets institutional community with digital-asset exchange.
BT Radianz Cloud Integrates Ipushpull Data-Sharing Tool
BT Radianz Cloud adds fintech start-up Ipushpull's API for real-time data sharing and collaboration.
IBM Rolls Out Upgrades for Watson Financial Services Portfolio
IBM has enhanced its regtech suite of services, including the integration of Armanta’s platform after the May acquisition.
LEI Grace Period Ends July 2
Esma warns six-month LEI grace period will not be extended.