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SROs To Select CAT Builder within Two Months Following SEC Approval of NMS Plan
The Securities and Exchange Commission (SEC) has approved the national market systems (NMS) plan that will create a consolidated audit trail (CAT) designed to help regulators improve tracking of trading activity in the US equity and options markets. Within two months of this week’s approval, self-regulatory organisations (SROs) must select an organisation, or plan processor…
Best Practice Approaches to Economic Sanctions and Related Securities
Economic sanctions can pose difficult data management and compliance problems, particularly at the securities level, but automated services that identify and manage securities related to sanctions can help firms improve compliance and avoid penalties for breaches. The challenges of effective sanctions data monitoring, as well as the opportunities of getting this right, were discussed during…
Winners of the 2016 Data Management Review Awards
This year’s DMR awards ceremony was a tremendous event with 18 award winners, an entertaining address by guest speaker Mark Foster, one of Britain’s most decorated male swimmers, and a five-star lunch in the splendour of the Merchant Taylors’ Hall. A-Team Group CEO, Angela Wilbraham, and President, Andrew Delaney, hosted the event and were joined…
A-Team Webinar Addresses Rising Requirement for Accurate Shareholding Disclosure
Shareholding disclosure requirements are moving up the data management agenda at financial institutions as regulators increase their focus on systemic risk. A-Team will discuss the challenges of accurate shareholding disclosure during a webinar next Tuesday and present the results of a recent industry survey focused on how financial institutions are addressing shareholding disclosure obligations. The…
Integration and Development Capabilities Sell Vontobel On Horizon Platform
Zurich-based Vontobel, which has CHF 187 billion in assets under management, chose Horizon Software’s Horizon Platform for Automated Trading (HPAT) for its electronic trade execution because of the platform’s ability to develop algorithms, handle reporting, meet compliance requirements and integrate in a timely and low-risk manner with the firm’s trading environment, according to Sylvain Thieullent,…
Thomson Reuters Lays Off Staff as Reorganisation Cuts 2,000 Jobs
Thomson Reuters is cutting 2,000 jobs as part of a reorganisation that kicked in this week with staff layoffs. Thomson Reuters announced the job cuts, 4% of its workforce of about 48,000 people globally, as it reported a slight dip in third quarter profit and flat revenue. The cuts will be made across 39 countries…
Object Trading Adapts To Singapore Exchange’s Titan Platform
Multi-asset trading infrastructure provider Object Trading has adjusted its services to conform to Titan, the newly launched trading platform of the Singapore Exchange (SGX). Object Trading’s Direct Market Access (DMA) platform will continue to handle market data, order execution and pre-trade risk constraints for its clients who trade on SGX. Object Trading supports SGX’s QuestDT…
Recorded Webinar: Meeting the high stakes challenge of effective sanctions data monitoring
Identifying securities related to a sanctioned domicile or company is a straightforward concept, but in practice, it is a far more challenging task for compliance professionals. Receiving a list of sanctions isn’t enough. In order to accurately define and maintain your ‘do not trade’ list, you need to identify all the securities related to each…
LumRisk Scales with Markit EDM Managed Service
LumRisk, a Geneva based risk aggregating service provider, has gone live with the managed service version of Markit EDM. The enterprise data management solution improves LumRisk’s hedge fund and alternative risk premia (ARP) platform, allowing data analysis and risk monitoring services to be scaled up. LumRisk considered several enterprise data management solutions before selecting Markit…
The CAT Controversy
By Kelvin To, founder and president of Data Boiler Technologies AutoCAD has been the de facto computer-aided design (CAD) program for engineers for so long that it’s like an acronym for anything that is professionally engineered, designed and created. In capital markets, the Securities and Exchange Commission (SEC) has adopted rule 613 to establish the…