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Jeremy Davies, RSRCHXchange

Commcise partners with RSRCHXchange to deliver end-to-end MIFID II research solution

Thu, 14/12/2017 - 10:04

Commcise, a buy-side focused commission management, research valuation and research accounting platform, and RSRCHXchange, an aggregator and marketplace for institutional research, have teamed up to deliver an integrated research solution to support the research consumption, valuation and accounting data requirements of buy-side and sell-side firms. »

Picture of a man with megaphone making announcement

Nasdaq Nordic introduces new rules for securitised derivatives traded in Genium INET

Wed, 13/12/2017 - 11:00

A subset of structured products traded on the fixed income markets of Nasdaq Helsinki and Nasdaq Stockholm in Genium INET have been classified as securitised derivatives in accordance with MiFIR and MiFID II. »

James Williams, Global Fund Media

The Bahamas prepares risk-based approach to regulatory oversight

Tue, 12/12/2017 - 10:55

Last July, the Securities Commission of The Bahamas (the Commission) embarked on a process to overhaul the Investment Funds Act. The Investment Funds Act 2003 was largely structured to be in line with the operations of fiduciary administrators and did not necessarily account for the appropriate regulation of the various roles within a fund structure.  »

Enrico Bruni, Tradeweb

Tradeweb secures OTF authorisation

Tue, 12/12/2017 - 09:48

Tradeweb has secured authorisation from the UK’s Financial Conduct Authority (FCA) to operate an Organised Trading Facility (OTF), effective from 3 January 2018. »

J Christopher Giancarlo, CFTC

CFTC approves exemption from SEF registration requirement for EU-authorised MTFs and OTFs

Mon, 11/12/2017 - 09:08

The Commodity Futures Trading Commission (CFTC) has exempted certain multilateral trading facilities (MTFs) and organised trading facilities (OTFs) authorised within the European Union (EU) from the requirement to register with the CFTC as swap execution facilities (SEFs). »

Jay Clayton, SEC

SEC delays introduction of N-PORT filing as it looks to boost EDGAR security

Mon, 11/12/2017 - 08:46

The Securities and Exchange Commission (SEC) is delaying the implementation of rules requiring large mutual funds to submit monthly details of their portfolio holdings to the Commission while it improves the security of its EDGAR filing system which was hacked in 2016. »

Jean Stephens, RSM

92 per cent of European businesses are unprepared for GDPR

Fri, 08/12/2017 - 08:58

Businesses across Europe are unprepared for the EU’s General Data Protection Regulation (GDPR), which comes into law in May 2018, according to new research conducted for audit tax and consulting firm RSM by the European Business Awards. »

Kevin Linsell, Timico

Over a third of UK financial organisations unprepared for MiFID II

Thu, 07/12/2017 - 10:46

With less than 30 days to go before the upcoming MiFID II legislation comes into force on 3 January 2018, the latest research has found that 39 per cent of UK financial organisations are unaware whether or not their organisation is compliant. »

Bill Prew, Indos

INDOS Financial depositary services gain formal recognition

Thu, 07/12/2017 - 10:42

Independent AIFMD depositary, INDOS Financial Limited (INDOS), has received a Service Organisation Control 1 (SOC 1)/ISAE 3402 Type II controls assurance report from an independent audit firm for the first time. »

Pascal Kutyten, TORA

TORA launches AI-driven pre-trade analytics tool for MiFID II best execution requirements

Wed, 06/12/2017 - 09:02

TORA, a provider of a cloud-based order and execution management system (OEMS), has launched an artificial intelligence (AI)-driven pre-trade transaction cost analysis (TCA) solution designed to help firms meet the stricter best execution requirements imposed by MiFID II. »

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