Reporting/compliance

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RegTek.Solutions gets visual with Optimity Advisors

RegTek.Solutions, today announced a partnership with Optimity Advisors, a global consulting firm, to bring data visualization and exception-based analytics to the regulatory reporting space.

/Reporting/compliance

Regis-TR confirmed as the SFTR Trade Repository for Clearstream and Eurex

REGIS-TR, the pan-European leader in G20 trade repository services will be the Trade Repository of choice for Clearstream and Eurex, providing a fully flexible reporting service solution for Securities Finance Transaction Regulation (SFTR) requirements.

/Reporting/compliance

StarLeaf ensures MiFID compliance for video confering suite

StarLeaf, leading provider of meeting room and management solutions for Microsoft’s UC platforms Skype for Business and Teams, is the first manufacturer to offer meeting room systems that are fully-primed with a precise set of functionality, which enables financial service organisations to comply with the new Markets in Financial Instruments Directive (MiFID II).

/Reporting/compliance

FCA slaps Interactive brokers with £1m+ fine for post-trade failings

The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in the period February 2014 to February 2015 (‘the Relevant Period’).

/Reporting/compliance

Sionic Mobile announces Don Westcott as chief compliance officer

Sionic Mobile, a cloud-based connected commerce provider, today announced Don Westcott has been named Chief Compliance Officer.

/Reporting/compliance

Aquis chosen to supply UBS MTF with surveillance kit

Aquis Technologies, the financial and regulatory technologies services arm of Aquis Exchange, has been chosen by UBS MTF as its supplier of market monitoring, surveillance and reporting software.

/Reporting/compliance

Thomson Reuters goes live with MiFID II services

Thomson Reuters has successfully gone live with its key MiFID II services, helping the financial services industry meet the new regulatory requirements.

/Reporting/compliance

Jefferies goes live with Percentile’s RiskMine Cube

Percentile, leading innovator in risk management and RegTech, today announced that Jefferies, the global investment bank, has gone live with Percentile’s RiskMine Cube software.

/Reporting/compliance

Western Union fined $60 million for violating AML laws

Financial Services Superintendent Maria T. Vullo today announced that Western Union has agreed to pay a $60 million fine as part of a consent order with the New York State Department of Financial Services (DFS) for violations of New York Bank Secrecy Act (BSA) and anti-money laundering laws (AML).

/Reporting/compliance

Commcise expands US business development team

Commcise, the award-winning provider of integrated commission management, research evaluation and reporting solutions for investment management firms, is delighted to announce the arrival of Melissa Umans as Director of Business Development in the New York Office.

/Reporting/compliance

Linedata forges partnership with London Stock Exchange Group’s UnaVista for MiFID II

Linedata (Euronext Paris: LIN), the global solutions and outsourcing services provider to the investment management and credit finance industries, today announced a partnership with London Stock Exchange Group’s UnaVista for transaction reporting requirements, as part of its ongoing drive to provide clients with market leading solutions compliant with the European Union’s Markets in Financial Directive II (MiFID II).

/Reporting/compliance

FCA on EBA guidelines for security of payments under PSD2

On 12 December 2017 the European Banking Authority published final Guidelines(link is external) on security measures for operational and security risks of payments services under the revised Payment Services Directive ('the Guidelines').

/Reporting/compliance

FCA statement on EU withdrawal

On December 15 2017 The European Council confirmed that sufficient progress had been made to move to the second phase of negotiations related to transition (the implementation period) and the framework for the future relationship between the UK and the European Union.

/Reporting/compliance

Bank of England provides EU passport workaround for international banks

As discussions on the UK’s future relationship with the EU continue the Bank of England is announcing today that it is consulting on an updated approach to authorising and supervising international banks and insurers, and it is issuing guidance on its approach to international central counterparties (CCPs).

/Reporting/compliance

Esma gives investment firms six-month leeway to fully comply with LEI implementation under MiFIR

The European Securities and Markets Authority (ESMA) has issued today a statement to support the smooth implementation of Legal Entity Identifiers (LEI) requirements under the Markets in Financial Instruments Regulation (MiFIR).

/Reporting/compliance

NTT Data joins Bank of England accelerator

NTT DATA, a leading consulting and IT services provider, has secured a place in the Bank of England’s (BoE) highly regarded FinTech Accelerator programme.

/Reporting/compliance

Bahrain Middle East Bank chooses Wolters Kluwer’s OneSumX

Bahrain Middle East Bank (BMB) has chosen Wolters Kluwer’s OneSumX for Finance solution to provide the basis for its core banking and reporting system.

/Reporting/compliance

China Merchants Bank chooses Wolters Kluwer for regulatory reporting

China Merchants Bank (CMB) has chosen Wolters Kluwer’s OneSumX for Regulatory Reporting to provide its regulatory reporting software for its operations in Luxembourg, following a competitive tender process.

/Reporting/compliance

Commcise partners with RSRCHXchange to provide end-to-end MiFID II research tools

Commcise, the multi award-winning buy-side focused commission management, research valuation and research accounting platform, and RSRCHXchange, the aggregator and marketplace for institutional research, have announced a collaboration to deliver an industry-leading integrated research solution to support the research consumption, valuation and accounting data requirements of buy-side and sell-side firms.

/Reporting/compliance

Castlight Financial launches IFRS data capture tool

Award winning, Glasgow-based fintech company Castlight Financial has launched a powerful customer bank transactions categorisation tool, designed to meet the challenges and opportunities faced by the banking industry in the run up to the implementation of banking standard IFRS 9 on 1 January 2018.

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