The European Commodity Clearing (ECC) has been given Recognised Clearing House (RCH) status by the Monetary Authority of Singapore (MAS). This will be ECC’s first regulatory license outside of Europe, representing a key milestone for ECC and CLTX, as part
SteelEye, a compliance technology and data analytics firm, has formed a technology partnership with Solgari, a provider of compliant, integrated omni-channel cloud communications services. The partnership will integrate SteelEye and Solgari’s cloud platforms, allowing clients to meet many financial services
In mid-March, we published the first of a two-part article series with SEI Investment Manager Services on how a top-down, bottom-up solution can go some way towards helping fund managers grapple with regulatory compliance demands as efficiently as possible.
GoldenSource has integrated Approved Reporting Mechanism (ARM) and Approved Publication Arrangement (APA) services from Trax, the post-trade services and European market data division of MarketAxess, to help banks and asset managers with their MiFID II reporting obligations. The integration was
With over 1,500 employees in international locations, over 250 employees and 40 partners dedicated to the financial services practice, EisnerAmper LLP has the breadth to handle global engagements and provide comprehensive guidance and support to its roster of hedge fund
Shield Financial Compliance (Shield FC) has launched a new version of its data management platform for capturing, archiving, analysing and investigating electronic communication (eComms) to meet the growing record-keeping, data governance and best execution requirements of financial firms. MiFID II,
Eze Software is growing its MiFID II trade reporting support by expanding its strategic collaboration with NEX Regulatory Reporting, a business area within NEX Group. As an Approved Publication Arrangement (APA) provider, NEX Regulatory Reporting supports clients in their MiFID
UnaVista, part of the London Stock Exchange Group (LSEG), has extended its alliance with information provider IHS Markit to help firms prepare and comply with the upcoming SFTR transaction reporting. In line with LSEG’s Open Access philosophy, UnaVista launched its
The Options Clearing Corporation (OCC) is to undertake remedial efforts and pay USD20 million in penalties to settle SEC and CFTC charges that it failed to implement policies to manage certain risks as required by US laws and SEC and
The US Commodity Futures Trading Commission has issued two orders filing and settling charges against Tullett Prebon Americas Inc, an interdealer broker and CFTC-registered introducing broker headquartered in New Jersey, requiring the company to pay a total of USD13 million
