Regulation

Articles

21 Jan 2020 — Bill Hodgson

2020 will bring increased focus on reporting, transparency and modernisation according to Brown Brothers Harriman in their 2020 Regulatory Field Guide

+0
5 MINS
20 Jan 2020 — Deputy Editor

CipherTrace has joined the NICE Actimize X-Sight Marketplace, the financial crime and compliance ecosystem, which connects financial firms with data, applications, tools and service providers.

+2
1 MIN
08 Jan 2020 — Bill Hodgson

The European Securities and Markets Authority (ESMA) has published its final report, its Guidelines on reporting under the Securities Financing Transactions Regulation (SFTR), amended SFTR validation rules and a statement on Legal Entity Identifiers (LEI).

+1
3 MINS
19 Dec 2019 — Deputy Editor

Waymark Tech, the provider of global regulatory insight and analytics to both the private and public sectors, has been named in the RegTech100 for 2020 – for the third consecutive year.

+2
2 MINS
18 Dec 2019 — Bill Hodgson

The consequence of solving the replacement of LIBOR may cause unexpected problems in UMR portfolios

+0
2 MINS
13 Dec 2019 — Deputy Editor

The European Securities and Markets Authority (ESMA) has published a peer review report on how national competent authorities (NCAs) manage suspicious transactions and order reports (STOR) under the Market Abuse Regulation (MAR). 

The Report sees a significant increase in STORs and finds that national supervisors can do more to ensure that all financial participants play their part in combatting market abuse.

+0
2 MINS
09 Dec 2019 — Bill Hodgson

ESMA adopts the revised timing for P5 & P6 of UMR.

 

 

+0
1 MIN
03 Dec 2019 — Deputy Editor

Tookitaki, the AML and Reconciliation provider, has just announced an additional US$11.7 million in funding, taking the total investment in the Series A round to US$19.2 million.

+1
1 MIN
27 Nov 2019 — Deputy Editor

The Bank of England’s PRA has fined Citigroup Global Markets £43.9 million for failings in relation to their internal controls and governance arrangements, which underpin compliance with PRA regulatory reporting requirements. As a result, between 19 June 2014 and 31 December 2018, they failed to submit complete and accurate regulatory returns to the PRA.

+3
1 MIN
22 Nov 2019 — Deputy Editor

Ecosystm, the global technology research and advisory platform has just published a new report, ‘Ecosystm Predicts: The Top 5 Fintech Trends for 2020’, which highlights -

+1
2 MINS
20 Nov 2019 — Deputy Editor

SFTR reporting goes live in April 2020 when firms will need to report their Securities Financing Transactions (SFTs) to an approved Trade Repository. Designed to increase transparency, SFTR will allow regulatory authorities to assess the risks associated with these transactions.

+1
1 MIN
13 Nov 2019 — Bill Hodgson

IHS Markit has announced that HSBC, UBS, BofA Securities, and 3 unnamed broker-dealers are to use the Outreach360 platform to manage standardised counterparty questionnaires for Securities Financing Transaction Regulation (SFTR).

+1
1 MIN