Compliance Financial Trading Industry News, Articles & Insight
- Old habits die hard as Deutsche Bank fined by Fed for manipulating FX markets via chatrooms
27th April 2017 - Shortly before the Easter weekend, the Federal Reserve announced that it was fining Deutsche Bank 157 million USD for "unsafe and unsound practices" and for a "failure to maintain an adequate Volcker rule compliance program".
- Percentile launches RiskMine Platform in US
25th April 2017 - Percentile announces US launch of modular RiskMine platform, signs major US Bank.
- Esprow launches ETP GEMS, the Global Exchanges and Markets Simulation platform
25th April 2017 - ETP GEMS provides an on-demand testing environment to facilitate MiFID II compliance.
- Deutsche Bank to pay 156.6 million USD for FX & compliance failures
21st April 2017 - Federal Reserve announces two enforcement actions against Deutsche Bank that will require bank to pay a combined $156.6 million in civil money penalties.
- Bloomberg and Bats Europe announce joint MIFID II reporting initiative
20th April 2017 - Offering to help firms to comply with reporting requirements and manage data reconciliation without having to integrate with multiple systems.
- ASX 100 Cyber Health Check Report launched
20th April 2017 -
- SWIFT announces new payment controls service
13th April 2017 - SWIFT's new payment message monitoring service to bolster customers' fraud and cyber-crime controls.
- ITG and ONEaccess offer integrated MiFID II solution
12th April 2017 - ITG and ONEaccess to offer investor clients an integrated solution that simplifies compliance with MiFID II requirements around valuing and paying for research content.
- Advanced Logic Analytics announces ALA OneLogic compliance solution
11th April 2017 - Advanced Logic Analytics introduces compliance data analytics solution for financial markets firms.
- NICE Actimize introduces Holistic Behavioral Analytics Solution
4th April 2017 - Holistic Behavioral Analytics Solution enables analysts to investigate abnormal behavior in surveillance activity.
- SIX partners with DTCC to issue LEIs in Switzerland
4th April 2017 - SIX Securities Services partners withThe Depository Trust & Clearing Corporation to offer Legal Entity Identifiers in Switzerland.
- Bats' BXTR offers buy-side trade reporting services
3rd April 2017 - New service enables brokers to submit trade reports on behalf of buy-side via BXTR, Bats' trade reporting facility.
- IHS Markit adds risk scoring and remediation to KY3P
31st March 2017 - IHS Markit's KY3P new functionality includes risk scoring and remediation.
- IPC Introduces Compliance Policy Engine
30th March 2017 - IPC's Compliance Policy Engine, automates proactive financial communications rule enforcement.
- DTCC's Omgeo ALERT completes enhancements to become industry's SSI Utility, increases SSIs by 15%
29th March 2017 - Introduces Omgeo ALERT Automating SSIs Together (ASSIsT) program. Readies industry for U.S. T+2 go-live in September 2017 and implementation of MiFID II in January 2018.
- Hundsun and Ullink announce strategic capital markets partnership for China
28th March 2017 - Hundsun connects to NYFIX Marketplace via Ullink network.
- Esprow updates ETP C-Box to automate MiFID II compliance certification
28th March 2017 - Esprow releases ETP C-Box update for automated MiFID II compliance certification.
- Baymarkets launches Clarity platform for RegTech solution delivery
22nd March 2017 - First two solutions available - Clarity Limit: pre-trade limits & risk checking, and Clarity Hub: multiple CCP interface.
- AxiomSL and Integration Alpha offer cloud-compliant regulatory reporting solution
22nd March 2017 - AxiomSL and Integration Alpha strategic partnership offers end-to-end Managed Services for risk and regulatory reporting.
- Thomson Reuters and SAP address compliance and third-party risk challenges
22nd March 2017 - Integration of World-Check Data with SAP Business Partner Screening offers organizations improved vigilance.
- Plato Partnership completes deal with Trade Informatics PLIA platform
21st March 2017 - Plato Partnership signs collaboration agreement with Trade Informatics PLIA. The PLIA platform in Europe will be renamed PLIAPlato as part of the deal.
- DTCC's LEI service receives GLEIF accreditation
20th March 2017 - DTCC'S Legal Entity Identifier service, GMEI Utility, awarded GLEIF accreditation.
- RavenPack launches new platform, secures 5 million USD from Draper Esprit
21st March 2017 - RavenPack's new platform opens up big data analytics to fundamental and discretionary investors,secures $5 million backing from Draper Esprit, a venture firm involved in creating high-growth technology businesses.
- NICE Actimize solution automates evidence gathering
20th March 2017 - NICE Actimize Investigation Management solution automates evidence gathering.
- Thomson Reuters completes Clarient and Avox acquisitions
20th March 2017 - Acquisitions strengthen Thomson Reuters relationship with DTCC, Barclays, Credit Suisse, Goldman Sachs, J.P. Morgan, State Street and other clients for compliance solutions.
- Commcise and Convergex's Westminster Research Associates announce integrated MiFID II compliant research solution
15th March 2017 -
- INDATA enhances platform functionality for MIFID II requirements
15th March 2017 - Release of iPM Epic includes enhanced compliance, data management and trading updates.
- CloudMargin signs major US asset manager, closes series A Funding
14th March 2017 -
- SIX approved to launch Trade Repository for Switzerland
13th March 2017 - Having received approval from FINMA as an official Swiss derivative trade repository, SIX Securities Services is set to launch its central trade repository in Switzerland - the SIX Trade Repository.
- MTS launches dedicated MiFID II compliance portal
13th March 2017 - Fixed income platforms enhanced to comply with updated European rules. Dedicated MiFID II portal launched on www.mtsmarkets.com