Legal & Regulation

Electronic trading floor

CFTC issues ‘no-action letter’ for swaps trading on EU multilateral trading facilities

The Commodity Futures Trading Commission’s (CFTC) Divisions of Market Oversight (DMO) and Swap Dealer and Intermediary Oversight (DSIO) have issued a no-action letter with respect to swaps trading on multilateral trading facilities overseen by authorities designated by European Union member states. »


Regulation

FCA sets out its regulatory priorities for asset managers

The Financial Conduct Authority (FCA) has revealed its thematic supervisory plans for 2014/15 as a central part of its annual Business Plan. »


Regulation

Misys launches regulatory reporting service

Misys has launched a new regulatory reporting service, enabling corporates, fund managers and smaller banks to meet their EMIR-specific reporting requirements. »


Report

OTC derivatives regulators issue report to G20

The Over-the-Counter (OTC) Derivatives Regulators Group (ODRG) has issued a report that identifies the current list of remaining cross-border implementation issues related to global reform of OTC derivatives markets. »


Slow

Investment managers behind the curve on FATCA prep, says SEI

Many investment managers are still coming to grips with the related operational, staffing, and budgetary requirements of the Foreign Account Tax Compliance Act (FATCA), according to a paper by SEI. »


Document and pen

US CFTC and Financial Services Agency of Japan sign MOC on cross-border regulated entities

Leaders of the US Commodity Futures Trading Commission (CFTC) and the Financial Services Agency of Japan (JFSA) have signed a memorandum of cooperation (MOC) regarding the supervision and oversight of regulated entities that operate on a cross-border basis in the US and Japan. »


Regulation

SEI expands regulatory solution

SEI has expanded the regulatory component of its operating platform, adding technology and process enhancements that enable managers to streamline the regulatory filing process. »


Electronic trading floor

Trading industry adopts FIX protocol for TESI

The global trading industry has begun implementation of the guidelines set down by the FIX Trading Community to reduce operational risk and enable more efficient set up of clients on OTC electronic trading platforms. »


Regulation

Enhance Group selects Confluence for AIFMD technology solution

Enhance Group, a Jersey-based investment consultancy firm, has selected Unity NXT AIFMD Transparency Reporting from Confluence for its AIFMD transparency reporting requirements. »


Clouds

Indus Valley Partners launches cloud based regulatory compliance platform

Indus Valley Partners (IVP) has launched IVP RAPTOR cloud, enabling alternative asset managers to meet their global regulatory reporting needs from a purpose-built cloud platform. »


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Mon, 12/05/2014 (All day) - Dubai
Tue, 13/05/2014 (All day) - Dubai