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SteelEye Extends Reach with Office in Paris

SteelEye, a compliance technology and data analytics firm, has taken the next step in its international expansion with the opening of an office in Paris. The office supports SteelEye’s rapid growth and positions the company closer to regulated financial markets in France, as well as the Benelux region, Switzerland and many of its existing clients….

ESMA Updates AIFMD Q&A

The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the application of the Alternative Investment Fund Managers Directive (AIFMD), which are intended to provide common supervisory approaches and practices in the application of the AIFMD and its implementing measures. The regulator has added one new Q&A on the AIFMD reporting…

SMCR Now Underway – But Are Firms Ready?

Yesterday the Senior Managers and Certification Regime came into force for the asset management industry, bringing into the fold the remaining 47,000 FCA-regulated firms who must now start performing additional checks, providing formal statements and submitting data on appointed managers. But with some uncertainty around how strict the regulator will be in its approach to…

Broadridge Uses Blockchain to Address European SRD II Compliance

With the Shareholder Rights Directive II (SRD II) regulatory compliance deadline fast approaching, intermediaries supporting institutional and/or retail clients face one of the biggest changes in European corporate governance in many years. And according to Broadridge, many businesses are not yet ready for the transition – which is expected to place considerable pressure both on…

US Banks Unprepared for California Consumer Privacy Act – What Can They Do?

By Edel Brophy, Global Regulatory Manager, Fenergo. Keeping up with compliance regulations across multiple jurisdictions can be tricky for financial institutions. Hugely ambitious, the ratification of the state law the California Consumer Privacy Act (CCPA) is one of the toughest challenges they’ve faced. With just one month to go, it’s therefore concerning that one third…

As Clock Ticks on SM&CR, FCA Looks to Extend Coverage to Benchmark Administrators

There is only a week to go until the final SM&CR deadline on December 9, by which time all remaining FCA-regulated firms (including asset managers, brokers and trading firms) will have to comply with the new rules – and start submitting data to the new FCA Directory. But as crunch time catches up with the…

Itiviti Partners Capital Market Solutions for Reporting to the CAT

Itiviti has partnered Capital Market Solutions (CMS), a consultancy and solutions developer, to provide a regulatory reporting solution for the SEC Rule 613 Consolidated Audit Trail (CAT). The solution is based on CMS’s Regulatory Surveillance & Monitoring System (RSMS) and is timely in following SEC issuance, after several delays, of a schedule for CAT implementation…

A-Team RegTech Summit Emphasises Urgency of Efficient, Enterprise-Wide Compliance

A-Team Group’s RegTech Summit made a triumphant return to a full house in New York last Thursday, with an excellent turnout of over 230 practitioners, regulators, start-ups and solution providers all keen to explore how the financial services industry can best leverage technology to drive innovation, cut costs and support regulatory change. Colin Ware, Global…