Reporting/compliance

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Thomson Reuters releases compliance dashboard

Organizations facing regulatory overload can now benefit from powerful new tools to help them better manage their compliance workflow as Thomson Reuters introduces Regulatory Change Management (RCM), its new end-to-end compliance solution.

/Reporting/compliance

Truphone launches multi-mobile SMS recording service

Truphone, the world’s first global mobile network and a leading supplier of regulatory compliant mobile recording has launched a new solution: SMS recording on all devices.

/Reporting/compliance

Financial industry veterans strengthen leadership team at RedOwl

RedOwl, the leading provider of insider risk solutions, today announced the expansion of its senior leadership team.

/Reporting/compliance

DTCC appoints Derek West as chief compliance officer at European trade repository

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that Derek West, former Senior Director of Derivatives Oversight at the Quebec Autorité des marchés financiers (AMF), has joined the firm as Executive Director and Chief Compliance Officer for the firm’s European Global Trade Repository (GTR) business.

/Reporting/compliance

Esma updates on transaction reporting guidelines under MiFID II

Toward the end of 2016, ESMA published guidelines for transaction reporting under the Markets in Financial Instruments Directive (MiFID II) and Regulation(MiFIR).

/Reporting/compliance

Piraeus Bank selects Quantifi for treasury middle office

Quantifi, a specialist provider of risk, analytics and trading solutions, today announced it has been selected by Piraeus Bank (Piraeus), Greece’s largest bank, in terms of assets, and considered the most innovative in the Greek market.

/Reporting/compliance

AQMetrics get MiFID ready

Leading RegTech company, AQMetrics, today announced new enhancements to its end-to-end risk and compliance solution as part of its award-winning cloud-based platform.

/Reporting/compliance

IHS Markit addresses Section 871(m) Compliance for US equity derivatives

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced the launch of Markit│CTI Tax Solutions for Section 871(m) to address compliance obligations for US equity derivatives.

/Reporting/compliance

Nepalese banks sign up for Swift's sanction screening service

10 Nepalese banks will utilise SWIFT's Sanctions Screening service to support their sanctions compliance.

/Reporting/compliance

Asic lays down the law over ASX outage

ASIC has released a report on the findings of its review of the ASX outage that affected the operation of the Australian equity market on 19 September 2016.

/Reporting/compliance

NAB and CBA rapped over spot FX control failings

ASIC has today accepted enforceable undertakings (EUs) from each of the National Australia Bank Limited (NAB) and the Commonwealth Bank of Australia (CBA) in relation to the banks’ wholesale spot foreign exchange (FX) businesses.

Banks should be liable for scam victims' losses says consumer group

/Reporting/compliance

Banks should be liable for scam victims' losses says consumer group

Consumer group Which? has accused the UK's Payment System Regulator (PSR) of letting banks off the hook by not forcing them to reimburse customers who fall victim to online money transfer scams.

Asic launches licence exemption scheme for fintechs

/Reporting/compliance

Asic launches licence exemption scheme for fintechs

Australia's securities watchdog has released a number of waivers that will enable eligible fintechs to test services without the need to hold an Australian Financial Service licence or to make individual applications to the regulator.

/Reporting/compliance

SEK opts for Wolters Kluwer’s IFRS9 software

The Swedish Export Credit Corporation (SEK) has chosen Wolters Kluwer’s OneSumX to provide its software for International Financial Reporting Standards (IFRS)9 implementation and reporting.

/Reporting/compliance

Börse Berlin implements Scila Surveillance

Börse Berlin, the German exchange founded in 1685, has chosen to implement Scila Surveillance, provided by the Stockholm-based leading independent surveillance technology provider Scila.

/Reporting/compliance

FMSB issues guidelines on surveillance and training in wholesale markets

Using automated voice surveillance systems and surveillance techniques involving Natural Language Processing are among the emerging practices being used to combat the risk of insider dealing and market manipulation, according to new guidelines from the FICC Markets Standards Board (“FMSB”).

/Reporting/compliance

Lombard Risk signs German sales deal with Atos

Lombard Risk Management plc (LSE: LRM), a leading provider of integrated collateral management and regulatory reporting solutions for the financial services industry, has signed a co-operation agreement with Atos, an international leader in digital services, to facilitate the delivery of Lombard Risk’s award-winning collateral solution, COLLINE, to the German market from early 2017.

Tullett and Quaternion partner CU FinTech Lab on open source risk project

/Reporting/compliance

Tullett and Quaternion partner CU FinTech Lab on open source risk project

Tullett Prebon Information and Irish risk analytics firm Quaternion have partnered to launch an open source risk project in collaboration with Columbia University’s FinTech Lab in New York.

/Reporting/compliance

Fiserv releases Prologue Risk Manager

Fiserv, Inc. (NASDAQ: FISV), a leading global provider of financial services technology solutions, announced today the availability of Prologue Risk Manager.

/Reporting/compliance

GoldenSource sizes up FRTB

GoldenSource, the leading independent provider of Enterprise Data Management (EDM) and Master Data Management (MDM) solutions for the securities and investment management industry, has launched a new data management solution for the Fundamental Review of the Trading Book (FRTB).

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