Regulation



Featured image for “Regulatory change and data fragmentation are key challenges for 85% of firms”

June 20, 2022 - Editor

Financial firms are investing more in tech to manage increasingly complex regulatory landscape including regulatory change and data fragmentation

Featured image for “FMSB – Financial markets misconduct in global capital markets”

June 8, 2022 - Editor

The Financial Markets Standards Board (“FMSB”) today publishes its Behaviour-pattern Conduct Analysis (“BCA”) report on misconduct in global capital markets

Featured image for “Finastra and CloudMargin Collateral Management as a Service Offering Accelerates Compliance with UMR Regulation”

March 25, 2022 - Editor

Finastra today announced that its Collateral Management as a Service app – powered by CloudMargin and available through Finastra’s FusionFabric.cloud platform ­– now incorporates new

Featured image for “SteelEye Tackles MiFIR Data Integrity Challenges With Automated Reconciliation Solution”

November 30, 2021 - Editor

SteelEye, the compliance technology and data analytics firm, has launched an automated Three-Way Reconciliation solution to tackle MiFIR transaction reporting issues.

Featured image for “Changes to Reporting Requirements for UK Trade Repositories”

November 26, 2021 - Editor

The FCA and Bank of England have launched a joint consultation on changes to reporting requirements, procedures for data quality and registration of Trade Repositories

Featured image for “FCA issues warning to businesses over hybrid working risks”

November 11, 2021 - Editor

The Financial Conduct Authority (FCA) has issued new guidance to companies operating a remote or hybrid working model.

Featured image for “AANA Calculation Services”

November 9, 2021 - Editor

AANA Calculation services come in many flavours, check our your choices here

Featured image for “DTCC DERIVATIVES REPOSITORY FINED €408,000 FOR EMIR DATA BREACHES”

July 15, 2021 - Editor

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has fined DTCC Derivatives Repository Plc (DDRL) a total of €408,000 for seven infringements of

Featured image for “UK-EU unequalled: Rishi Sunak Mansion House Speech”

July 12, 2021 - Editor

UK Chancellor Rishi Sunak’s Mansion House speech yesterday delivered the final coup de grace headshot to any lingering hopes for EU-UK equivalence. “The UK has

Featured image for “Legal Experts Debate Personal Liability for Chief Compliance Officers”

July 7, 2021 - Editor

Chief compliance officers need a new operating model, not a new legal framework, to avoid being personally penalized unfairly by the US Securities and Exchange