Standards
2015: Year of the LEI Break-Out?
MiFID II, CSDR and Other Regulations Make LEI Harder to Ignore
In Swaps Market, Industry Members Agree: Anonymity Rules
A TabbForum panel looked at anonymity in the swaps market.
CFTC Commissioner Giancarlo: Undo Swaps Categorization, Futurization
Giancarlo stresses improvements need to be made to CFTC regulations
New SEC Swap Reporting Rules: An Easy Start, Bigger Impact Still to Come
Niche swap dealers will need to create systems for newest SEC rule
Croatian Exchange Taps Ancoa for Trading, Data Flow Monitoring
The Zagreb Stock Exchange is using real-time and historical market data to power a new market surveillance system from UK-based surveillance and analytics provider Ancoa, which is integrated into ZSE's trading platforms for regulated and over-the-counter…
New SEC Rules Increase Transparency in Security-Based Swap Market
Reporting rules, guidance on security-based swap transaction proposed
Fico Acquires Financial Crime Firm Tonbeller
Deal moves Fico firmly into growing financial crime and compliance space.
Amundi Taps Thomson Reuters' Accelus for KYC
European asset manager latest among large buy sides to take Org ID
Man Group Taps Thomson Reuters Accelus for KYC
Service will streamline processes and enhance monitoring across geographies
FISD Forms Group to Address Online Broker Data Issues
Group will examine subscriber and reporting issues affecting online brokers and their clients
Finra Posts 2015 Regulatory, Exam Priorities Letter; New Audit Trail Team to be Created
Outsourcing, cybersecurity & trading tech areas of interest
The Waters Weekly Wrap: December 15-19, 2014
A look back at the best content published across all the Waters brands
FISD Awards Thai Exchange ‘Outstanding Data Provider'
Data industry association FISD's Service Level and Communications Working Group has named the Stock Exchange of Thailand as its Outstanding Data Provider for 2014, an annual award given to the exchange or data provider that the group believes best…
Top Stories of 2014: The Compliance Challenge
The best of our regulatory and compliance-focused coverage in 2014.
SWIFT Officially Launches KYC Registry
Move comes after pilot with handful of banks
Swift’s KYC Registry Goes Live
Central Utility Lets Firms Retain Data Ownership
DTCC, TriOptima Take Aim at European Repository Matching Rates
Connectivity between repository and reconciliation service looks to reduce matching failures.
DTCC Launches Canadian Repository
Move means organization now has presence in seven jurisdictions.
Fonetic Launches Multi-Trade Search and Reconstruction Tool
New addition will provide customizable filtering for compliance
TMX's McCrea Joins Audit Specialists JCV
Former exchange exec will help grow JCV's audit and IPR protection business.
Speakerbus Intergrates Nice with iTurret
Interoperability between the two products will offer better compliance for transactional recording.
SEC Votes to Strengthen Systems Compliance and Integrity
Regulation Systems Compliance and Integrity requires entities to have a plan for when systems fail.
Deutsche Bank Brings AxiomSL's Regulatory Platform to the US
Deutsche Bank also deployed the platform in the Asia-Pacific region.
Taking Aim at AIFMD
Data Quality Challenges a Concern for Alternative Fund Managers as Reporting Deadline Passes