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Oppenheimer migrates to GoldenSource hosted data service

GoldenSource, a leading independent provider of Enterprise Data Management (EDM) and Master Data Management (MDM) solutions for the securities and investment management industry, today announced that Oppenheimer & Co. Inc. (Oppenheimer), a US registered broker-dealer, is using GoldenSource hosted services in connection with its institutional entity data management platform.

/Reporting/compliance

EBRD joins Swift KYC Registry

In a move to facilitate global and local financial flows and ensure their transparency, the European Bank for Reconstruction and Development has signed up to use SWIFT’s Know Your Customer (KYC) Registry and is encouraging partner banks in countries where it invests to follow suit.

/Reporting/compliance

Wolters Kluwer hires Standard Chartered's Sarfaraz Ahmed as Apac market manager

Wolters Kluwer’s Finance, Risk & Reporting business has hired Sarfaraz Ahmed as Market Manager, Finance and Risk, for its growing Asia Pacific (APAC) business.

/Reporting/compliance

EBA consults on operational risk and security guidelines for PSD2

The European Banking Authority (EBA) launched today a consultation on its draft Guidelines on security measures for operational and security risks under the revised Payment Services Directive (PSD2).

/Reporting/compliance

Commission proposes simpler and more efficient derivatives rules

The European Commission is today proposing some targeted reforms to improve the functioning of the derivatives market in the EU.

/Reporting/compliance

Risk of personal liability affecting bank business decisions

Concern by financial executives about the risks of personal liability appears to be affecting the strategic business decisions they make, according to a global survey of compliance and risk practitioners at financial firms.

/Reporting/compliance

Financial Conduct Authority publishes first set of data under new complaints rules

The Financial Conduct Authority (FCA) has published data on the number of complaints reported by firms under new rules which came into force on 30 June 2016.

/Reporting/compliance

Linedata Icon Retail bids to streamline regulatory support for transfer agents

Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced a number of initiatives in place to assist clients of Linedata Icon Retail in dealing with the requirements of multiple regulatory reporting.

/Reporting/compliance

Deutsche Bank fined $156.6 million for chat room violations

The Federal Reserve on Thursday announced two enforcement actions against Deutsche Bank AG that will require the bank to pay a combined $156.6 million in civil money penalties.

/Reporting/compliance

Bloomberg and Bats Europe combine for MiFID II reporting

Bloomberg and Bats Europe have today announced they plan to provide Bloomberg customers with the ability to use their respective Approved Publication Arrangements (APA)[1] to fulfil MiFID II transparency reporting requirements.

/Reporting/compliance

Advanced Logic Analytics launches compliance data analytics service

Advanced Logic Analytics (ALA), a provider of enterprise wide big data and finance analytics solutions for buy- and sell-side institutions and other financial firms, is pleased to announce the introduction of the ALA OneLogic for compliance-related obligations, fraud monitoring and risk management.

/Reporting/compliance

FactSet and ONEaccess team up to meet MiFID II challenges

FactSet, a global provider of integrated financial information, analytical applications, and industry-leading service, and ONEaccess, a Visible Alpha company and leading corporate access and research valuation platform, announced today an alliance to provide institutional investor clients with a new suite of tools to track and value research products and services.

/Reporting/compliance

Quoniam selects Axioma Risk

Axioma, a provider of enterprise market risk and portfolio analytics solutions, has extended its relationship with Quoniam, a leading quantitative asset management firm headquartered in Frankfurt, with more than €26 bn in assets under management.

/Reporting/compliance

Jupiter Asset Management takes on Milestone Group’s pControl for NAV oversight

Milestone Group, provider of managed technology solutions for the global investments industry, today announced that Jupiter Asset Management (Jupiter) has gone live with pControl Oversight across its Unit Trusts, SICAVs and Investment Trusts.

/Reporting/compliance

Ignite Sales launches sales compliance monitor for banks

Ignite Sales, Inc. today announced it has launched Sales Compliance Monitor™ at #CBALIVE in Dallas, TX.

/Reporting/compliance

FCA publishes 'near final' rules for MiFID II

The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II.

/Reporting/compliance

RegTech Association launches in Australia with spotlight on growing eco-system

The RegTech Association will officially launch tomorrow with a high-profile event in Sydney, where the first-of-its-kind group will be hosting an exclusive speaker panel, including some of the industry’s key influencers, movers and shakers; who will discuss the state of play and future opportunities for growing the RegTech eco-system in Australia and beyond.

/Reporting/compliance

IHS Markit adds risk scoring and remediation to KY3P platform

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced the addition of many new features to its Know Your Third Party Risk Management platform (KY3P) to further support its rapidly growing customer base.

/Reporting/compliance

To- big-to-fail banks rapped for lax risk practices

The Basel Committee on Banking Supervision today published its latest progress report on banks' implementation of the Principles for effective risk data aggregation and reporting.

/Reporting/compliance

FCA fines former investment banker for sharing confidential information over WhatsApp

The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp. The FCA found that Mr Niehaus failed to act with due skill, care and diligence.

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