TradingTech Insight Regulatory compliance The latest content from across the platform

Trade Practice Surveillance: ‘I’ll Know It When I See It’

By: Victor Naroditskiy, Head of Regulatory Solutions Engineering, EMEA, OneMarketData Much of the Dodd-Frank Act, Market Abuse Regulation, MiFID II and trade surveillance regulations can be summarized as “Thou shalt not manipulate” or rather “Thou shalt not try to manipulate.” The Dodd-Frank Act, for example, defines spoofing in the following terms: It shall be unlawful…

Trading Execution Concerns Shift From Latency To Proactivity

The ground on which market participants walk is shifting from a foundation of latency and performance concerns to a playing field where being proactive is their best asset, according to trading technology experts who spoke in a webinar hosted by Intelligent Trading Technology on June 1.

Partnership Readies Regulatory Compliance Service For October US Launch

With their partnership begun in January, Scandinavian based compliance solutions company TM Group, and UK-based archiving provider Arkivum, have put their capabilities together for an end-to-end solution that can collect customer data for regulatory compliance, communicate it within units of a firm, and, lastly, save and store the data, according to officials of both companies….

The Time to Implement Innovative Technology for Electronic Execution is Now

Technology innovation is side-lining low latency in the drive to optimise performance and reduce complexity and cost of electronic execution infrastructure – but which technologies are finding favour and what can they deliver? Join the discussion at this week’s A-Team Group Intelligent Trading Summit in New York City to find out about technology innovation for…

Recorded Webinar: High Performance Technologies for Electronic Execution

Don’t miss this opportunity to view the recording of this recently held webinar. When firms pursue higher performance in the electronic trading execution technology they use, they must consider the exchange and trading venue landscape as the context for their approach. Their approach can be accomplished in-house or with support from providers, which can be…

IHS Markit Platform Promises Compliance Cost Savings

Information and analytics solutions provider IHS Markit has begun its rollout of Outreach360, a platform for managing documentation and communication concerning regulatory compliance, according to company officials. The platform will reduce compliance costs and standardize communication with contacts about compliance, says Darren Thomas, managing director and head of the Counterparty Manager service containing the Outreach360…

FRTB’s First Steps and Stages

The Fundamental Review of the Trading Book (FRTB) regulation being instituted by the Basel Committee on Banking Supervision (BCBS) in January 2019 is the de facto successor to the global banking supervision organisation’s Basel III guidelines on market risk and capital adequacy. Financial services firms are beginning to consider the demands FRTB makes on their…

RegTek Delivers Tactical Software to Support Strategic Approaches to Regulation

RegTek Solutions, a subsidiary of Risk Focus formed early this year, has introduced EMIR-Ready, a regulatory readiness testing and validation service designed to help firms within the scope of European Market Infrastructure Regulation (EMIR) comply with changes to the regulation’s Regulatory Technical Standards (RTS) that come into play on 1 November 2017. EMIR-Ready is a…

Trading Communications Become A ‘Mammoth’ Challenge

The volume of securities trading communications that requires recording and the amount of time that regulators mandate that information be retained have become a “mammoth” challenge for financial services firms, according to speakers in a webinar hosted by Intelligent Trading Technology on April 25. MiFID II goes far beyond the UK Financial Conduct Authority’s rules…

Industry Doubts Urgency Of US CFTC’s Reg AT

The industry’s sense of urgency concerning Reg AT is dropping, because little action is expected to put its rules in effect in the US following the May 1 ending of the comment period on the regulation. Reg AT, the US Commodity Futures Trading Commission’s Regulation Automated Trading, contains risk and transparency provisions for automated trading….