RegTek.Solutions has launched Validate.Trade for SFTR, an independent data quality assurance solution for ESMA’s Securities Financing Transaction Regulation (SFTR). Using the platform’s rich application, flexible API or simply Excel spreadsheets, clients can start testing the quality and integrity of their
ResearchPool, the leading global digital platform for investment research, has signed a new partnership with Invest Securities to offer investment companies a MiFID II-compliant solution to access reports and analysts. Invest Securities will also exclusively distribute its research on ResearchPool.com
By Olivia Munro – As the deadline to the GDPR steadily approaches, it is important to start preparing for the regulation if you haven’t already. In case you aren’t aware, the EU took a major step to protect their
The US Commodity Futures Trading Commission has issued an order filing and settling charges against Curtis Dalton of Middleton, Massachusetts, requiring him to pay USD200,000 for offering illegal off-exchange retail commodity transactions to US and overseas customers while failing to
By Nick Bayley (pictured), Duff & Phelps – It’s 3 January 2018. Hallelujah! Christmas has been and gone. The festive cheer over for another year. But there’s one more gift welcoming everyone as they head back to their offices: MiFID
Could technological advances hold the key to hedge fund managers meeting both the increased service expectations of investors, and fulfilling new regulatory requirements? Joe McGrath investigates… Buy-side firms have long recognised the importance of technology in today’s market, and nowhere
Mirabella Group, the regulatory hosting arm of ACA Compliance Group, has added a Tied Agent solution to its existing alternative investment fund manager (AIFM) service in Malta. This new solution helps non-European Economic Area (EEA) firms to interact with their EEA clients
Linedata (Euronext Paris: LIN), the global solutions and outsourcing services provider to the investment management and credit finance industries, is partnering with London Stock Exchange Group’s UnaVista for transaction reporting requirements to provide clients with MiFID II-compliant solutions. Under the
LMAX Exchange Group has completed the transition of its MTF and Broker businesses into two distinct FCA regulated entities – LMAX Exchange and LMAX Global – to meet the regulatory changes introduced under MiFID II. David Mercer, CEO of LMAX
Business information provider IHS Markit’s thinkFolio investment management platform is now connected to TRADEcho’s Approved Publication Arrangement (APA), providing clients with a trade reporting solution for MiFID II. MiFID II rules will shift the responsibility for trade reporting to the
