Dodd-Frank Act
IPC, TeleWare Announce Mobile Compliance Alliance
Jersey City-based IPC Systems, a provider of trading communication technology, and T-Ware Connect, the North American arm of global call compliance technology provider TeleWare Group, have announced an alliance that will offer capital markets firms in…
Recommind Automates Extraction, Display of OTC Contract Data
Perceptiv Derivatives Contract Analysis is intended to replace the often manual processes used to extract data from over-the-counter derivatives contracts, so they can fully understand the agreements and comply with new regulations
iMeta Adds Credit and Legal Functions to Entity Data Platform
A new module providing legal and credit information now sits alongside the know-your-customer and standing settlement instruction data functionality of iMeta's Assassin platform
Thomson Reuters Launches KYC Managed Service
Thomson Reuters has launched a central hub for know-your-client data to make it easier and cheaper for financial firms to manage their regulatory requirements
Thomson Reuters Unveils Managed KYC Service
Thomson Reuters has launched Accelus Org ID, a new platform to support financial institutions and their clients increase the efficiency and reduce the costs associated with complying with Know Your Customer (KYC) requirements.
Assessing the Evolving OTC Landscape: New Opportunities and Challenges ─ Webcast
WatersTechnology gathered a number of industry experts for a webcast on March 4, 2014 to discuss what financial trading firms are doing to regards to enforcing regulation affecting over-the-counter (OTC) derivatives and the impact on their trading…
Kinetix Adds New Regs Support to Data Compliance Tool
Princeton, NJ-based trading technology provider Kinetix Trading Solutions has added support for new regulations to the Pre-Trade Verification module of its Monaco trading platform, which combines market data with trading firms' databases of counterparty…
Scotiabank Chooses Fenergo Onboarding System
The client data software provider's onboarding system uses a rules-driven process to classify Scotiabank clients affected by European Market Infrastructure Regulation, the US Dodd-Frank Act and the Foreign Account Tax Compliance Act
SIX Chooses Avox to Map LEIs to Securities Database
A new partnership between the two data vendors means SIX will be able to provide entity-level data to its clients, based on instrument-level requests
Derivatives Trading Firms Weigh Audio Recording Approaches
Thanks to the latest Dodd–Frank provision in which derivatives transactions will be more closely monitored, many US traders will now have their conversations recorded. Jake Thomases investigates how that recording will be done and what will happen to the…
As the OTC Marketplace Evolves, More SEFs May Rise
Equinix's Barry Smith discusses the trends he expects to see in the OTC markets in 2014 and beyond.
Collateral Transformation, Agency Execution to Reinforce Swap Dealers' 'Stickiness'
As the buy side ramps up simulation of electronic swaps execution ahead of next year, panelists say old questions remain about what sell-side services will gain steam, and which are technologically feasible at all.
Mizuho Chooses GoldenSource for Data Quality, Regulatory Compliance
Mizuho International will use GoldenSource's enterprise data management platform to help it comply with regulations such as the European Market Infrastructure Regulation by improving data quality and transparency
OpenGamma Debuts Margining Platform
Risk management technology and analytics provider OpenGamma has launched the Platform for Margining, a new platform to address margining requirements related to new over-the-counter (OTC) market structure changes being pushed through in the US through…
Open Platform: Compliance Challenges for Communications
The ways in which we all communicate have changed. The fixed-line telephone call is almost a thing of the past, with mobile and electronic communication having seen to that. Regulators have recognized this, and have told firms that they need to be…
CFTC Approves Tullett Prebon’s SEF Status
The US Commodity Futures Trading Commission (CFTC) has granted interdealer broker Tullett Prebon temporary registration to operate as a swap execution facility (SEF).
If Deadlines Aren’t Fixed, They’re Guidelines
Running out of time on derivatives reform.
BT Partners with Truphone for US Mobile Recording
Network and telecoms provider BT has joined forces with global mobile operator Truphone, to deliver a communications recording service in line with Dodd-Frank Act provisions.
Anthony Malakian: Regulators Literally Doing the Best They Can
In an environment of budgetary constraints, regulators must invest in top-tier analytical technologies. But, as Anthony explains, there is no “try” when it comes to preventing another 2008.
For Regulators, Data Engineers in Demand
Regulators in the US have had to significantly increase not only their IT hardware and software, but their staffing as well, to meet Dodd-Frank-related demands.
US Regulators' Technology Burden
The passage of the Dodd–Frank Act in the US, while necessary, has not just stressed many Wall Street firms’ IT budgets—it has also required a substantial investment on the parts of the US regulators. Anthony Malakian charts the progress that has been…
Integral Files SEF Application With CFTC
FX trading solutions provider Integral Development Corp has applied to the US Commodity Futures and Trading Commission (CFTC) to launch a Swap Execution Facility (SEF).