Regulation

Articles

26 Nov 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 under UK EMIR.

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remote working
11 Nov 2021 — Editor

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

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AANA Calculation Services
09 Nov 2021 — Editor

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

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DTCC fined
15 Jul 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 the European Market Infrastructure Regulation (EMIR) regarding data confidentiality, data integrity, and direct and immediate access to data.

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Rishi Sunak Mansion House Speech
12 Jul 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.

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07 Jul 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 Commission for regulatory infractions, say some legal experts.

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ESMA data quality report
20 Apr 2021 — Editor

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, today published its final report on the European Markets Infrastructure Regulations (EMIR) and Securitised Financing Transactions Regulation (SFTR) data quality.

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29 Mar 2021 — Editor

The Derivatives Service Bureau (DSB), has opened a Request for Information (RFI) process to identify a reference data provider for provision of underlier identifiers for the Unique Product Identifier (UPI) for OTC products.

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10 Nov 2020 — Deputy Editor

The Monetary Authority of Singapore (MAS) has once again promoted the adoption of FinTech by financial institutions, most recently announcing the launch of a S$35 million (US$ 26 m) grant to help smaller financial institutions adopt digital solutions for more streamlined reporting to MAS.

The adoption of digital solutions will facilitate more efficient processes for the preparation and submission of data, in line with regulatory requirements.

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20 Oct 2020 — Deputy Editor

Silent Eight, the technology company using AI to combat money laundering and terrorism financing, has completed a new round of funding, bringing the company's total capital raised to $15m.

The investment round was led by OTB Ventures, and supported by Koh Boon Hwee, Chairman and General Partner of Altara Ventures, and SC Ventures. All are existing investors of the company.

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13 Oct 2020 — Deputy Editor

Julia Hoggett, Director of Market Oversight at the FCA spoke at the City Financial Global event yesterday, which included some very interesting views on surveillance and the new way of working.

 

Surveillance Highlights -

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23 Sep 2020 — Deputy Editor

MarketAxess has entered into an agreement to acquire the Regulatory Reporting Hub, the regulatory reporting business of Deutsche Börse.

The Regulatory Reporting Hub is a pan-European reporting and compliance platform with services including trade and transaction reporting, best execution reporting and SI services, as well as APA and ARM services.

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