Apex Fund Services (Apex) has been granted official approval and licensing by the Financial Services Regulatory Authority (FSRA) of Abu Dhabi Global Market (AGDM) and has become one of the first Independent fund administrators approved to carry out Regulated Activity
RIMES Technologies, a provider of managed data services and RegTech solutions for the buy-side, has launched RIMES RegFocus BMR Control, a cloud-based service designed to help asset managers, banks and insurance companies comply with the EU’s landmark Benchmarks Regulation (BMR)
By Nick Bayley (pictured), Duff & Phelps – In the good old days (any time before MiFID came along in 2007) the structure of European capital markets was relatively simple. There were really only two types of markets: highly transparent,
The US CFTC has filed a civil enforcement action against Monex Deposit Company, Monex Credit Company, and Newport Services Corporation (collectively, Monex), and Monex’s principals Louis Carabini and Michael Carabini, in connection with a fraudulent precious metals scheme. The CFTC
By Nick Bayley (pictured), Duff & Phelps – With less than three months until the introduction of MiFID II, in some parts of the industry there is a palpable sense of panic as the deadline looms. Following the 20 September speech
The Dubai Gold and Commodities Exchange (DGCX) and its CCP subsidiary, Dubai Commodities Clearing Corporation (DCCC), have been recognised as a remote Exchange and Clearing House by the Financial Services Regulatory Authority (FSRA), the regulatory authority for the Abu Dhabi
Trax, a provider of regulatory reporting, trade matching and capital market data services, has secured approval from UK Financial Conduct Authority as an Approved Publication Arrangement (APA) for transparency and reporting services under the MiFID II regime. The Trax Transparency
Abide Financial, the company behind NEX Regulatory Reporting, has received approval from the Financial Conduct Authority (FCA) as an Approved Publication Arrangement (APA), with effect from 3 January 2018. The authorisation will allow NEX Regulatory Reporting to provide enhanced MiFID
The FCA expects the number of managers that can be held personally responsible for misconduct will reach 72,000 after the extension of the Senior Managers’ and Certification Regime (SMCR), according to data provided to financial services law firm Cleveland &
Regulatory data exchange Silverfinch is hosting an event dedicated to the biggest regulatory challenges facing London’s finance industry – the January 2018 introduction of MiFID II and PRIIPs. The event, which takes place on 6 September at the America Square
