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AFME Proposes 14 Recommendations to Advance Adoption of Public Cloud Computing in Capital Markets

The Association for Financial Markets in Europe (AFME) has published a paper setting out 14 recommendations to help realise the full potential of public cloud computing across the capital markets industry. The recommendations for banks, cloud providers, regulators, and the industry as a whole aim to increase the transparency and collaboration required to build further…

SimCorp Partners deltaconX to Deliver SFTR Reporting Solution

SimCorp is seeking to solve the data management issues of Securities Financing Transactions Regulation (SFTR) reporting with a cloud-based solution developed in partnership with regulatory compliance specialist deltaconX. The SFTR offering is included in SimCorp’s latest software release and provides transaction reporting through the deltaconX regulatory platform. With the first wave of SFTR reporting requirements…



NeoXam Eases CACEIS Reporting Burden with Regulatory Edition of Impress Digital Reporting Solution

NeoXam has signed up the asset servicing banking group of Crédit Agricole, CACEIS, as the first user of the third edition of its Impress investment reporting solution, Regulatory Edition. The solution supports digital production of quarterly, semi-annual and annual reports. It is based on NeoXam’s buy-side DataHub and uses the functionality of the data repository…

GAM Implements Indus Valley Partners Solutions to Create Digital-First Data Management Model

GAM, an independent asset manager managing over $136 billion in assets for institutions, financial intermediaries and private investors, has implemented Indus Valley Partners (IVP) solutions to simplify its data architecture through automation and set up a digital-first data management model designed to give the firm enhanced operational flexibility coupled to greater control. The firm selected…

SEC Extends MiFID II Exemption Once Again, FCA Approves for UK Dealings Post-Brexit

The US Securities and Exchange Commission has once again extended its October 26, 2017 no-action letter allowing US banks to sell research directly to European fund managers under MiFID II without registering as investment advisors. Set to expire on July 3, 2020, the letter has been extended for a further three years to July 3,…

Tipping the Balance: The Growing Importance of Consolidated Surveillance

Transaction reporting may have started off as a baby elephant but as regulators increasingly focus on the importance of accurately recorded data, and the regulatory landscape becomes ever more complex, that animal is getting bigger. MiFID II and MiFIR transformed the scope of transaction reporting for financial firms, requiring them not only to guard against…

KYC Focus: Top Tech Tips for 2020 with WorldWatch Plus

The financial markets are a tricky place to be these days, buffeted by winds of change coming from multiple directions. With social, economic, and political pressures piling on top of an already onerous regulatory burden, firms might be forgiven for feeling a little overwhelmed. The good news is that technology is keeping pace, providing new…

Taming the Regulatory Beast with Advanced Data Integration Techniques

The last decade has seen the emergence of an increasingly complex regulatory environment – one that demands an unprecedented level of data access and integration, for which, it seems, the both the industry and its regulators remain surprisingly under-prepared. A recent white paper from JWG and MarkLogic entitled ‘Ready for Digital Regulation?’ predicts that there…

FCA Highlights ‘Underserviced’ RegTech Sector in Latest Innovation Initiative

RegTech is the “sleeping giant” of the financial services world, according to FCA Director of Innovation Nick Cook, who notes that while investments in the sector more than doubled between 2017 (in excess of £1.4 billion) and 2018 (in excess of £3.4 billion), several key challenges are still inhibiting the industry from reaching its full…

SM&CR: The Countdown Begins

This weekend marks just one month to go until SM&CR goes live for all solo-regulated firms, replacing the FCA’s previous Approved Persons Regime (APR) and bringing with it a host of new data management requirements and challenges. A survey published by ACA Compliance in August this year warned that less 2% of firms had completed…