Reporting/compliance

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SEC takes aim at celebrity endorsements of investment products

Celebrities and others are using social media networks to encourage the public to purchase stocks and other investments.

/Reporting/compliance

Osmo Partners and Hedgd combine to ARM firms for MiFID II reporting

With the deadline for MiFID II compliance just weeks away (3rd January 2018), London-based OSMO Partners and Hedgd have launched a new full service Approved Reporting Mechanism (ARM) offering to satisfy MiFID II Transaction Reporting obligations.

/Reporting/compliance

OneSavings Bank gets agile with Lombard Risk

Lombard Risk Management plc (LSE: LRM), the global dedicated provider of integrated regulatory reporting and collateral management solutions, is supplying its flagship regulatory reporting platform, AgileREPORTER, to OneSavings Bank.

/Reporting/compliance

Standard Chartered extends AxiomSL deployment

AxiomSL, the leading provider of regulatory reporting and risk management solutions, today announces that Standard Chartered Bank (SCB) has chosen to extend deployment of AxiomSL’s strategic platform for its AnaCredit and German statistical reporting to Deutsche Bundesbank (BBK).

/Reporting/compliance

Alphametry tackles buy-side research management challenge

Global investment research platform Alphametry today launches a comprehensive research management solution for the buy-side. Alphametry Investor will provide all asset managers, regardless of their size, with the benefits of a powerful, cloud-based solution enabling them to manage all their research with meaningful analytics, with the added advantage of complying with the new unbundling rules.

/Reporting/compliance

Solvassure builds compliance platform for GDPR and the Accountability Regime

RegTech pioneer Solvassure has created a single compliance platform for GDPR and the Accountability Regime, as the race to meet next year’s implementation deadlines heats up.

/Reporting/compliance

T Rowe Price contracts with Linedata for NAV oversight

Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced that Linedata has been selected by T. Rowe Price, a premier global investment manager, to deliver comprehensive oversight to enhance T. Rowe Price’s Net Asset Value (NAV) across its extensive range of investment offerings.

/Reporting/compliance

FinoComp launches asset data technology service ahead of MiFID II

FinoComp, the Australian technology business providing micro-services software to the UK wealth management market today announces the launch of a new Single Source of Asset Data service.

/Reporting/compliance

Bank Polskiej Spóldzielczosci chooses Wolters Kluwer risk and reporting platform

Warsaw-based Bank Polskiej Spóldzielczosci SA (Bank BPS) has chosen Wolters Kluwer’s OneSumX for Risk and OneSumX for Regulatory Reporting to provide an integrated risk and regulatory reporting solution following a competitive tender process.

/Reporting/compliance

Red Deer integrates with Instinet's RQ Connect

Red Deer, a next-generation financial technology company dedicated to enhancing the performance of active investment managers, today announces a strategic partnership with Instinet Europe Limited to provide an integrated solution to seamlessly manage research inducement, consumption, valuation, payment and commission management under the new MiFID II regime.

/Reporting/compliance

FIX Trading Community releases Recommended Practices for Best Execution Reporting

FIX Trading Community, the non-profit, industry-driven standards body at the heart of global financial trading, today announced the final release of its Recommended Practices for Best Execution Reporting as required by MiFID II RTS 27 & 28.

/Reporting/compliance

Accuity begins live screening pilot with bank clients

Accuity, the global financial crime compliance, payments and KYC solutions provider, today announced the launch of its Firco Live Services pilot with global banks.

/Reporting/compliance

SIX Swiss Exchange selects UnaVista as partner for remote transaction reporting

SIX Swiss Exchange is to partner with London Stock Exchange Group to establish a link to their UnaVista service to facilitate transaction reporting for products admitted to trading on SIX Swiss Exchange for remote participants.

/Reporting/compliance

Cheyne Capital Management selects Red Deer for MiFID II research compliance

Red Deer, a next-generation financial technology company dedicated to enhancing the performance of active investment managers, is pleased to announce that Cheyne Capital Management (UK) LLP, one of Europe’s leading alternative investment fund managers, has selected its MiFID II solution to manage its research consumption, valuation and inducement requirements across its investment business in advance of the 3rd January 2018 MiFID II deadline.

/Reporting/compliance

Esma expects full compliace with LEI requirements

The European Securities and Markets Authority (ESMA) has published a Briefing on the Legal Entity Identifier (LEI) as part of its efforts to raise industry awareness and facilitate compliance with the LEI requirements under MiFID II ahead of its 3 January 2018 launch.

/Reporting/compliance

Visible Alpha adds e-mail tracking and budgeting to OneAccess research tool

Visible Alpha today announced two new enhancements to its ONEaccess platform to aid clients in preparing for the compliance obligations associated with MiFID II regulations.

/Reporting/compliance

ICBC London extends AxiomSL deployment to support trade and transaction reporting

AxiomSL, the leading global provider of regulatory reporting and risk management solutions, announces today that Industrial and Commercial Bank of China (ICBC) (London) plc has selected AxiomSL’s strategic platform for its Markets in Financial Instruments Directive II (MiFID II) transaction reporting solution.

/Reporting/compliance

RSRCHXchange unveils new functionality ahead of MiFID II deadline

With 60 working days before the MiFID II implementation deadline, RSRCHXchange, the research aggregator and marketplace, has launched its latest version of RSRCHX including mobile and desktop apps and a range of new research management functionality.

/Reporting/compliance

SmartStream joins forces with RegTek Solutions on hosted reconciliation platform

SmartStream Technologies, the financial Transaction Lifecycle Management (TLM®) solutions provider, today announced a partnership with RegTek.Solutions, a leader in regulatory compliance technology, to deliver Reconcile.Trade, a managed service that provides independent, turnkey reconciliations that directly address regulators’ demands for the proactive oversight of trade and transaction reporting.

/Reporting/compliance

Saxo Bank in Japan selects Torstone's Inferno for legal ledger and regulatory reporting

Torstone Technology, a leading global provider of post-trade securities and derivatives processing, today announced that Saxo Bank Securities Ltd. (“Saxo Bank Japan”), the investment and trading specialist, has selected Inferno to replace the bank's legal ledger and comply with regulatory reporting requirements in Japan.

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