Compliance Financial Trading Industry News, Articles & Insight
- DTCC names former AMF Director as GTR Chief Compliance Officer
17th January 2017 - DTCC appoints Derek West as Chief Compliance Officer at European Global Trade Repository.
- OTAS launches Intraday Lingo
16th January 2017 - OTAS Technologies has launched Intraday Lingo, a tool to help traders meet regulatory and best execution requirements.
- AQMetrics adds MiFID II readiness features to RegTech solution
12th January 2017 - Cloud-based risk and compliance platform adds features to help buy-side and sell-side prepare for MiFID II obligations.
- HSBC Private Bank in Switzerland adopts Bloomberg's collateral management services
11th January 2017 - HSBC Private Bank in Switzerland adopts Bloomberg's collateral management services ahead of stricter margin requirements for OTC derivatives across multiple regulatory jurisdictions.
- IHS Markit launches solution to address Section 871(m) compliance
11th January 2017 - Brown Brothers Harriman and other financial institutions sign on as early adopters.
- Tradeweb to launch APA service for MiFID II reporting
10th January 2017 - Deutsche Bank, Goldman Sachs and J.P. Morgan among those selecting Tradeweb APA initiative for MiFIR post-trade reporting services, and MiFID II compliant data solutions.
- AxiomSL rolls out reporting solution for energy & commodities sector
9th January 2017 - AxiomSL extends trade and transactions reporting solutions to the energy and commodities trading sector.
- Advise Technologies releases Bank of Israel Derivatives Reporting module
21st December 2016 - New module addresses the Bank of Israel reporting requirement, which goes into effect on January 1st 2017.
- SEC charges Morgan Stanley with customer protection rule violations
20th December 2016 - Morgan Stanley to pay $7.5 million to settle charges it used trades involving customer cash to lower the firm's borrowing costs in violation of the SEC's Customer Protection Rule.
- European Supervisory Authorities consult on Big Data
20th December 2016 - The Joint Committee of the European Supervisory Authorities (ESAs) has launched a public consultation about the potential benefits and risks of Big Data for consumers and financial firms to determine whether any further regulatory or supervisory actions may be needed.
- Contego acquires Working Status Ltd.
20th December 2016 - Enhanced automated 'Right to Work' ID document checks added to the Contego platform.
- Thomson Reuters consolidates content feeds for compliance
13th December 2016 - All Thomson Reuters Regulatory Intelligence Feeds (TRRI Feeds) are now available in one consolidated feed to help compliance teams manage alerts from financial regulators.
- Risk Focus to join UnaVista's Partner Programme
12th December 2016 - Partnership enables Risk Focus to deliver the independent controls required by ESMA's MiFIR regulations.
- AFME publishes new post trade due diligence questionnaire
8th December 2016 - AFME seeks to harmonise Post Trade network selection process with new standardised due diligence questionnaire.
- Percentile launches tool to address FRTB
7th December 2016 - Percentile introduces RiskMine FRTB Standardised Calculator.
- Thomson Reuters launches ONESOURCE AEOI
7th December 2016 - Thomson Reuters launches enhanced solution to address Common Reporting Standard for the Automatic Exchange of Information (AEOI).
- enepath and Insightful provide trade reconstruction and compliance solution
1st December 2016 - Partnership provides capture, integration and retrieval of voice and data across the trading lifecycle.
- Societe Generale offers investment research solution with Smartkarma platform
1st December 2016 - Societe Generale deploys Smartkarma's equity research platform to enable institutional investors to access Asia-focused equity research to meet with key MiFiD II unbundling requirements.
- ISDA and IHS Markit launch 2016 Variation Margin Protocol
28th November 2016 -
- Trax launches Insight+ MiFID and EMIR regulatory rules engine
24th November 2016 - Trax Insight+ offers multi-asset class data enrichment and exception management support.
- Aravo appoints Anna Mazzone as MD
22nd November 2016 - Former Global Head of KYC Managed Services for Thomson Reuters joins Aravo Solutions as Managing Director, International.
- Dinosaur Merchant Bank deploys Ancoa surveillance to meet MAR
22nd November 2016 - Ancoa to provide Dinosaur Merchant Bank with surveillance platform to meet MAR requirements.
- Thomson Reuters Pricing Evaluation Score launches
17th November 2016 - New measure provides enhanced transparency into TRPS evaluated fixed income prices, helps meet increasingly stringent valuation and reporting rules.
- SWIFT goes live with new eLearning platform
15th November 2016 - SWIFTSmart provides training programme with digital courses and social learning capabilities.
- R3 develops proof-of-concept for shared KYC service with ten banks
10th November 2016 - R3 and ten major banks have developed a proof-of-concept for a KYC registry that addresses Know Your Customer requirements and allows identities to be managed by their owners.
- ABN AMRO selects MarkLogic for Trade Store
8th November 2016 - MarkLogic's single view of data across asset-classes to help enable compliance with upcoming legislation.
- Trade Informatics launches MiFID II tool in Europe
24th October 2016 - Trade Informatics announces European launch of PLIA, its cloud-based counterparty management and comPLIAnce solution.
- Thomson Reuters report: Financial institutions recognize benefits of adopting a more strategic approach to regulatory data management & compliance
19th October 2016 - 29% of Asia-based respondents are taking a strategic approach to regulatory data management, compared with 18% percent in Europe and just 13% percent in North America.
- Thomson Reuters introduces intraday pricing for money market instruments
14th October 2016 - New service provides 24/5 updated evaluated pricing for money market instruments, readies customers for SEC money market fund reform.