Regulation Financial Trading Industry News, Articles & Insight
- Euclid Opportunities invests in RSRCHXchange
23rd February 2017 -
- Thomson Reuters launches MiFID II-ready data analytics platform
23rd February 2017 - Thomson Reuters to launch multi-asset best execution and SI determination capabilities in 2018.
- AxiomSL appoints Andrew Wood as Country Manager for Australia
21st February 2017 - AxiomSL announces Asia Pacific expansion with senior appointment in Australia.
- EU financial transaction tax faces yet more roadblocks
20th February 2017 - This time insurance firms and pension funds are the problem.
- Convergex appoints Robin Strong as MD
16th February 2017 - Convergex expands European footprint in preparation for MiFID II.
- Fidessa: Not all tails wag the dog
10th February 2017 - Fidessa regulation expert Christian Voigt considers clock synchronisation under MiFID II RTS 25.
- IPC launches Connexus Chrono
7th February 2017 - IPC's clock synchronization and time stamping service to enable auditable and compliant trading.
- IHS Markit and Pirum Systems to provide SFTR reporting solution
7th February 2017 -
- GAIN in discussions to acquire FXCM's U.S. client base
7th February 2017 - GAIN Capital Holdings signs non-binding letter of intent to acquire the client base of FXCM's U.S. operations.
- CFTC fines FXCM 7 million USD, barred from US market
7th February 2017 - FXCM's Niv, and Ahdout prohibited from registering with the CFTC, ordered to pay 7 million USD for defrauding of retail forex customers.
- CFTC fines RBS 85 million USD for fixing benchmark swap rates
6th February 2017 - CFTC orders Royal Bank of Scotland to pay $85 million penalty for attempted manipulation of U.S. Dollar ISDAFIX benchmark swap rates.
- FIA statement on White House regulation review
6th February 2017 - FIA issues statement on regulatory review announced by White House.
- FCA fines Deutsche Bank 163 million GBP for money laundering control failure
31st January 2017 - Anti-money laundering failings allowed Deutsche Bank's Russia-based subsidiary to execute more than 2,400 mirror trades between April 2012 and October 2014.
- Dutch regulator leaks list of short equity positions since 2013
27th January 2017 - List shows Dutch companies that investors, including prominent quant funds such as Renaissance Technologies, are betting against.
- Thomson Reuters introduces Regulatory Change Management compliance solution
27th January 2017 - Compliance dashboard and enhanced mapping to help mitigate risk in volatile environments.
- TRADEcho launches MiFID II Smart Report Router
26th January 2017 - Boat Services and London Stock Exchange's TRADEcho service announces its open access Smart Report Router.
- FIA requests review of all financial reform regulation
26th January 2017 - FIA president and CEO Walt Lukken sent an open letter to President Trump and key congressional and regulatory leaders calling for a comprehensive review of all financial reform regulation.
- Morgan Stanley, Citigroup misled investors about CitiFX Alpha trading program
25th January 2017 - Morgan Stanley Smith Barney and Citigroup Global Markets to pay more than $2.96 million each for making false and misleading statements about a foreign exchange trading program sold to investors.
- Risk Focus launches RegTek Solutions
24th January 2017 - RegTech disruptor Risk Focus launches RegTek Solutions for regulatory reporting systems.
- CFTC extends comment period for Regulation Automated Trading
24th January 2017 - Commodity Futures Trading Commission announces an extension to the public comment period for the supplemental proposal for Regulation Automated Trading.
- CFTC names J. Christopher Giancarlo Acting Chairman
20th January 2017 -
- Thomson Reuters report on Regulatory Reform heralds an 'uncertain era of dismantling'
20th January 2017 - Regulated firms should make full use of regulatory technology - regtech - to prepare for rule overhauls in the UK, US and beyond.
- Thesys selected to provide Consolidated Audit Trail
20th January 2017 - Self-Regulatory Organizations choose Thesys Technologies as Consolidated Audit Trail Plan Processor.
- FINRA names Gregory Dean as SVP, Government Affairs
20th January 2017 - Gregory Dean joins FINRA as Senior Vice President, Office of Government Affairs.
- SEC establishes supervisory cooperation arrangement with Hong Kong SFC
20th January 2017 - New comprehensive arrangement expands upon the one from 1995 that was limited to investment management activities.
Enforcement Director Aitan Goelman to leave CFTC
19th January 2017 - Division of Enforcement Director Aitan Goelman will leave the Commodity Futures Trading Commission on February 3, 2017.
- FactSet and Axioma announce partnership
19th January 2017 - FactSet extends integration with Axioma.
- FINRA issues blockchain report, seeks comment
19th January 2017 - FINRA reports on potential implications of blockchain; requests feedback.
- BlackRock charged with removing whistleblower incentives in separation agreements
18th January 2017 - BlackRock employees signed separation agreements agreeing to "waive any right to recovery of incentives for reporting of misconduct."