1645 articles tagged with this keyword
News/Reporting/compliance
The Financial Stability Board has abandoned plans for a global registration authority for Legal Entity Identifiers in favour of a federated network, dealing a hammer blow to the ambitions of interbank messaging network Swift to play a central role in the roll out of the new standards.
04 May 2012
Nasdaq OMX Group has agreed to acquire BWise, an enterprise governance, risk management and compliance (GRC) software vendor. Financial terms of the deal were not disclosed.
03 May 2012
Six EU member states - Belgium, Spain, France, Cyprus, Poland and Portugal - have been threatened with legal action by the European Commission unless they comply with one-year old rules on e-money issuance.
27 April 2012
Almost seven out of 10 North American capital markets executives believe a significant portion of their firms' resources will be consumed by regulatory burdens and data latency issues, according to a Sybase survey.
18 April 2012
The US Securities and Exchange Commission has charged online brokerage optionsXpress, four of its employees and one customer in connection with a naked short selling scheme.
17 April 2012
International banking and securities regulators have set out new and more demanding standards for operators of payments, clearing and settlement systems as part of an international effort to boost the resiliency of the financial markets.
16 April 2012
European lawmakers have approved tough new rules governing trading in the over-the-counter derivatives market.
29 March 2012
A European Parliament report is calling for the Commission to toughen up its crackdown on high-frequency trading under MiFID II.
26 March 2012
Nasdaq OMX has postponed plans to introduce interoperable clearing in the Nordic cash equity markets in April, citing regulatory uncertainties.
Coutts, the private bank owned by RBS, has been fined £8.75 million by the Financial Services Authority (FSA) for anti-money laundering systems and controls failings.
The broker-dealer unit of Getco has been fined $450,000 for failing to properly supervise its high-frequency trading.
23 March 2012
Financial industry association Isitc says that nearly two thirds of its members plan to increase their information technology spending over the next two years as regulatory compliance continues to dominate the agenda.
12 March 2012
Thomson Reuters has failed to appease EU antitrust bodies over proposed concessions in the way it licenses the proprietary Reuters Instrument Codes.
08 March 2012
The European Commission is promising to shake up cross-border securities settlement in the EU by cutting settlement timeframes and establishing a common regulatory framework for the region's 30+ central securities depositories.
07 March 2012
The European Securities and Markets Authority (Esma) has given national securities watchdogs two months to declare their plans for enforcing new rules on scrutinising high frequency trading activities.
24 February 2012
UK and Swiss regulators have launched formal proceedings against UBS over the £2.3 billion unauthorised trading loss made at the bank last year.
03 February 2012
International regulatory authorities have called for the urgent creation of a universal Legal Entity Identifier (LEI) in their final report on the OTC derivatives data that should be collected, stored and disseminated by trade repositories (TRs).
17 January 2012
Despite ongoing economic turmoil, global spending on retail banking technology will increase by $3.6 billion - 3.2% - in 2012, and will hit $135 billion over the next five years, according to analyst house Ovum.
13 January 2012
The Securities and Exchange Commission has charged an investment adviser with trying to sell $500 billion-worth of fictitious securities on LinkedIn and other social networking sites.
05 January 2012
Lombard Risk Management has acquired the regulatory reporting business of Sofgen for $4.25 million in cash, loan notes and equity.
19 December 2011
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