Reporting/compliance

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Asic steps back from demands for intra-day reporting on derivatives transactions

ASIC has amended the ASIC Derivative Transaction Rules (Reporting) 2013 (derivative transaction rules (reporting)) following industry consultation and feedback on Consultation Paper 221 OTC Derivatives Reform: Proposed amendments to the ASIC Derivative Transaction Rules (Reporting) 2013 (CP 221).

/Reporting/compliance

Trunomi launches B2C KYC app

At Finovate 2015, the European showcase of the latest financial technology innovations, Trunomi launches the only mobile app that empowers financial institutions’ customers to control their personal identification data.

/Reporting/compliance

Forrmer Goldman man joins turret outfit Green Key Technologies

Green Key Technologies, provider of voice software designed specifically for traders, announced today the hiring of Steve Van Deusen as Director of Compliance Technology.

/Reporting/compliance

SEC bids to boost transparency with new swap reporting rules

The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.

/Reporting/compliance

Misys regulatory reporting service connects to DTCC repository

Misys, a leading provider of software solutions to financial services institutions, announces that it has added connectivity to DTCC for its Misys Regulatory Reporting Service.

/Reporting/compliance

Esma puiblishes MiFID II rules

The European Securities and Markets Authority (ESMA) has published today its final technical advice (TA) and launches a consultation on its draft regulatory technical and implementing standards (RTS/ ITS) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).

/Reporting/compliance

Esma clarifies position on investment-based crowd funding

The European Securities and Markets Authority (ESMA) has published an Opinion along with an Advice on Investment-based crowdfunding.

/Reporting/compliance

FCA restructures to deal with new regulatory challenges

The Financial Conduct Authority today set out details of how it intends to meet the regulatory challenges ahead following a detailed review of its strategy, priorities and ways of working.

/Reporting/compliance

Accuity releases Compliance Link 3.0

Accuity, a leading global provider of financial data for over 175 years, today announced the release of Compliance Link version 3.0, the latest upgrade of Accuity’s watch list filtering solution.

/Reporting/compliance

Qatar's Ahli Bank deploys SunGard risk reporting tech

Ahli Bank Q.S.C, a leading Qatari bank specializing in retail and corporate banking, has deployed SunGard’s risk solutions to enhance its regulatory capital calculation.

/Reporting/compliance

BTMU fined $315 million over US dollar clearing controls

The Bank of Tokyo-Mitsubishi UFJ, Ltd. (“BTMU”) announced today that it has entered into a consent agreement with the New York State Department of Financial Services (“DFS”) to resolve issues relating to instructions given to PricewaterhouseCoopers LLP (“PwC”) and the disclosures made to the DFS in connection with BTMU’s 2007 and 2008 voluntary investigation of BTMU’s U.S. dollar clearing activity toward countries under U.S. economic sanctions.

/Reporting/compliance

Wolters Kluwer rebrands governance, risk and compliance suite

Wolters Kluwer Financial Services today announced the joining of its broad and deep portfolio of Governance, Finance, Risk & Compliance (GFRC) solutions under the company’s new OneSumX® brand.

/Reporting/compliance

Deutsche Bank deploys AxiomSL regulatory reporting platform

AxiomSL, global provider of regulatory reporting and risk management solutions, announced today that Deutsche Bank has expanded its relationship and deployed the firm’s robust and flexible regulatory reporting platform and capital calculations solution in the United States following the implementation of the firm’s technology in the Asia Pacific region.

/Reporting/compliance

FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 million), HSBC Bank Plc £216,363,000 ($343 million), JPMorgan Chase Bank N.A. £222,166,000 ($352 million), The Royal Bank of Scotland Plc £217,000,000 ($344 million) and UBS AG £233,814,000 ($371 million) (‘the Banks’).

/Reporting/compliance

Swiss takes on new financial rules riles SIX

As an operator of financial market infrastructure, SIX supports the intention of the Federal Council to regulate financial market infrastructure and derivatives trading through a law. SIX recognizes that the legislation proposed at the beginning of September is pragmatic and feasible, and that it is largely based on international standards.

/Reporting/compliance

EuroCCP to match trades via Traiana

EuroCCP announced today its clearing services for clients’ matching OTC transactions with Traiana.

/Reporting/compliance

TriOptima's triResolve service gains 78 clients in Asia Pacific

Impending regulatory changes in Asia Pacific (APAC) have prompted leading financial institutions to proactively reconcile their portfolios and manage their collateral disputes, according to TriOptima, leading provider of OTC derivative post trade services.

/Reporting/compliance

EClerx launches KYC platform

eClerx, a leading provider of knowledge and business processing today announced it has launched its proprietary Know Your Customer (KYC) solution.

/Reporting/compliance

Jan Ford to join Deutsche Bank as head of compliance for the Americas

Deutsche Bank today announced that Elizabeth J. Ford (Jan) will join as a Managing Director and Head of Compliance, Americas. She will join the North America Executive Committee.

/Reporting/compliance

Central Bank of Nigeria advocates Swift sanctions screening to country's banks

SWIFT announces today at Sibos that the Central Bank of Nigeria is implementing its Sanctions Screening service and is mandating use of the hosted service by the country's banking community in order to strengthen the Nigerian financial market and ensure it meets global best practices for financial crime compliance.

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