1645 articles tagged with this keyword
News/Reporting/compliance
The UK's Financial Services Authority (FSA) has signed for Nasdaq OMX's Smarts Integrity market surveillance system to help monitor transaction reports.
10 September 2012
A senior Bank of England executive has called for a rethink of the Basel Capital Accord, suggesting instead that regulatory bodies rip up the rule-books and adopt a simpler judgement-based supervisory approach.
03 September 2012
A UK-government commissioned working paper on the economic impact of MiFID II has hit out at several key computer trading rule proposals, warning that they could damage economic growth.
The Bank for International Settlement has issued fresh guidance on the management of foreign exchange settlement risk, amid concerns that bank back offices are being overwhelmed by massive growth in FX dealing volumes.
21 August 2012
Australian and UK watchdogs have both warned of the potential financial and regulatory risks for participants involved in the fast-growing crowdfunding sector.
14 August 2012
Shares in Standard Chartered fell more than 20% in morning trading after a US regulator accused the bank of falsifying thousands of Swift wire payment directions to help hide $250 billion in transactions linked to Iran.
07 August 2012
HSBC's head of compliance fell on his sword in front of a US Senate subcommittee Tuesday after the banking giant was excoriated for lax money laundering controls.
18 July 2012
US tech firm Wolters Kluwer is extending its interest in the financial risk and reporting arena with the acquisition of Belgium's FinArch.
16 July 2012
The Securities and Exchange Commission (SEC) has voted to force US exchanges and Finra to build a consolidated audit trail system to monitor and analyse trading activity.
12 July 2012
Thomson Reuters has moved to bring compliance out of the back office and onto the trading floor with a new version of its Eikon desktop that includes regulatory information.
10 July 2012
The UK's House of Lords has urged the European Commission to call a halt to proposed changes to the Markets in Financial Instruments Directive (MiFID II), labelling the reforms as "ill-thought out" and potentially damaging to the City of London.
The Council of the European Union has adopted a regulation requiring financial firms to clear over-the-counter derivatives contracts through a central clearing counterparty and report them to trade repositories.
04 July 2012
US regulators have published details of banks' plans for living wills, including information on how the organisations' IT systems will cope if they are shut down or broken up.
Sir John Vickers, chairman of the UK's Independent Commission on Banking and architect of a raft of banking reforms, is to be the guest of honour at the next Finextra dinner club event in London on 17 July.
29 June 2012
The International Swaps and Derivatives Association (Isda) has called in Markit to help it develop a system enabling counterparties to amend their over-the-counter derivatives documentation for Dodd-Frank compliance.
08 June 2012
American banks consider technology investment a top spending priority for the year ahead, with platform simplification the most important IT-related project, according to a KPMG survey.
06 June 2012
Payments professionals from banks across Europe are gathering in Edinburgh this week for EBAday, hosted by the Euro Banking Association and Finextra. We're liveblogging events here.
16 May 2012
15 May 2012
Spending on market surveillance programmes covering equities and derivatives trading across Europe will grow by at least eight per cent in 2012, increasing from EUR105 million in 2011 to EUR126 million by 2014, according to research from Tabb Group.
11 May 2012
Financial information vendor Markit has agreed to buy enterprise data management (EDM) specialist Cadis. Financial terms of the deal were not disclosed.
09 May 2012
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