Compliance & Regulation - Articles and news items

ACIFMA mandates its members to commit to FX Global Code

Trading news  •  20 March 2017  •  Brigid Taylor, Managing Director, ACI Financial Markets Association

ACIFMA urges its 9,000 members to commit to new FX Global Code, as new rule-set for FX practice nears the end of its development phase.

ICAP released from further LIBOR class action suits

Legislation, Trading news  •  14 March 2017  •  NEX Group

ICAP plc and ICAP Europe have now been officially dismissed from all three LIBOR-related cases of Yen, Euribor and US dollar.

FinTech Technical Advisory Group launches to drive technology standards

Legislation, Technology news  •  9 March 2017  •  International Standards Organisation

The ISO/T68 Fintech Technical Advisory Group is aiming to bring articulated and agreed standards to technology innovation.

Broadridge acquires Message Automation Limited

Legislation, Trading news  •  9 March 2017  •  Broadridge

Broadridge’s acquisition of Message Automation Ltd is now official, with the former looking to extend its post-trade control capabilities.

ALA OneLogic to provide big data analytics for financial firms

Technology news  •  8 March 2017  •  ALA

ALA OneLogic offers big data and finance analytics solutions for financial firms that require analysis of enterprise-wide information.

SIX Swiss Exchange to use LSE’s TRADEcho as a TDM

Legislation, Trading news  •  7 March 2017  •  SIX Group

London Stock Exchange’s TRADEcho service will be adopted by SIX Swiss Exchange as a Trade Data Monitor ensuring MiFID and MiFID II compliance.

One year on: SMR is making a needed difference

Legislation  •  6 March 2017  •  Duff & Phelps

A year on from implementation, the Senior Managers Regime (SMR) look to be having the desired effect according to those in financial services.

Regulatory think tank NEX Reg appoints Kay Swinburne MEP as Chair

Movers & appointments  •  2 March 2017  •  NEX Group

NEX Reg, a new think tank from NEX Optimisation, will be chaired by Kay Swinburne MEP, and will host discussion on regulatory and market structure issues.

New financial regulation has so far failed to increase stability across the industry

Legislation, Z Homepage promo  •  28 February 2017  •  Duff & Phelps

35% of 200 professionals believe recent financial regulation has had little or no impact on financial stability. 17% think finance is less stable.

Datactics’ RegMetrics helps tier one bank meet BCBS 239 requirements

Legislation  •  22 February 2017  •  Datactics

Datactics will provide a global tier one bank with its RegMetrics solution so it can address the regulatory data quality demands of BCBS 239.

Frontierpay raising awareness of importance of compliant payments

Legislation  •  16 February 2017  •  Frontierpay

Frontierpay will work to educate the Global Payroll Association and the Expat Academy on the importance of reliable, secure and compliant payments.

Arendt to use Confluence’s Unity NXT Regulatory Reporting for AIFMD

Legislation  •  13 February 2017  •  Confluence

Arendt has chosen Confluence’s Unity NXT Regulatory Reporting AIFMD Transparency Reporting solution to aid customers with complex AIFMD reporting.

Cleaning up compliance to tackle money laundering

Blog, Z Homepage promo  •  10 February 2017  •  Steve King, Head of Corporate Compliance, Travelex

Money laundering is a huge issue in FX with at least $800 billion laundered each year. What can be done to prevent it and raise standards?

Ancoa’s AWS market surveillance platform comes to Convergex

Legislation, Trading news  •  8 February 2017  •  Ancoa/Convergex

Convergex has chosen Ancoa’s platform for market surveillance as regulatory requirements for market abuse become tighter.

Erste Group Bank chooses Asset Control’s AC Plus for MiFID II compliance

Legislation  •  6 February 2017  •  Erste Group/Asset Control

The bank is due to go live with AC Plus for its PRIIPs initiative in September, and will apply the same central security master architecture for MiFID II.


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