Legal & Regulation

Trading screens

GRC partners with REGIS-TR to provide EMIR-compliant trade reporting services

Global Reporting Company (GRC) and REGIS-TR have teamed up to provide buy-side and corporate clients with European Market Infrastructure Regulation (EMIR) compliant trade reporting services. »


Tick

Amundi Alternative Investments obtains AIFM authorisation

Amundi Alternative Investments SAS (Amundi AI) has obtained AIFM authorisation from the French securities regulator (Autorité des Marchés Financiers) for all of its investment solutions. »


Metal

LME completes technical delivery for EMIR

The London Metal Exchange (LME) has delivered the systems modifications to support its members and clearing house in response to the European Market Infrastructure Regulation (EMIR) requirements. »


Regulation

Indus Valley Partners launches 40 Act fund reporting functionality for hedge funds

Indus Valley Partners (IVP), a provider of technology solutions to alternative asset managers, has added a standard 40 Act rules library within the IVP Polaris data warehouse. »


Magnifying glass

Citicom Solutions partners with Doran Jones to distribute flagship compliance solution

Citicom Solutions has partnered with Doran Jones, a full-service financial services consultancy, to sell Citicom Assure, a product designed to provide proactive, real-time analysis of data, including instant messages (IMs), emails, text messages and mobile- and fixed-voice recordings. »


Electronic trading floor

ICE Trade Vault Europe approved by ESMA as trade repository

The European Securities and Markets Authority (ESMA) has approved ICE Trade Vault Europe as a trade repository for the reporting of swaps and futures trade data to meet requirements of the European Market Infrastructure Regulation (EMIR). »


Traders

CME Group secures European TR approval

CME Group has received approval from the European Securities and Markets Authority (ESMA) as a trade repository (TR) under the European Market Infrastructure Regulation (EMIR). »


Traders

DTCC Limit Monitoring to provide early warning system to identify unusual trading activity

The National Securities Clearing Corporation (NSCC) has filed a proposed rule change with the Securities and Exchange Commission (SEC) to provide its members with a new tool designed to serve as an early warning system that alerts those firms to trading activity that is nearing defined trading limits. »


Gavel and scales

SHK Management and former principal to pay USD400,000 to settle CFTC charges

The US Commodity Futures Trading Commission (CFTC) has issued an order filing and settling charges that Daniel Shak of Las Vegas, Nevada and SHK Management attempted to manipulate crude oil futures contracts. »


Approved stamp

ESMA approves DTCC trade repository in Europe

The European Securities and Markets Authority (ESMA) has approved DTCC’s Derivatives Repository Limited (DDRL) to operate a multi-asset class derivatives repository in Europe. »


Upcoming events

Upcoming training

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