Data Management Insight Regulatory Compliance The latest content from across the platform
MiFID II Handbook
As the 3 January 2018 compliance deadline for Markets in Financial Instruments Directive II (MiFID II) approaches, A-Team Group has pulled together everything you need to know about the regulation in a precise and concise handbook. The MiFID II Handbook, commissioned by Thomson Reuters, provides a guide to aspects of the regulation that will have…
The Next Frontier in Data Management Responses to Regulation
Not a conference on technology for capital markets goes by without many mentions of regulation, so here at A-Team Group we have put together a distinguished panel of speakers that will review the regulatory landscape and suggest how firms can develop data strategies that are compatible with a volatile environment at this week’s Data Management…
ESMA Says Implement MiFID II with Draft Rules, FIX Calls for Clarity
If you missed the FIX EMEA event last week, there is something you need to know – while the final details of Markets in Financial Instruments Directive II (MiFID II) have not yet been ironed out and the directive’s final rules are not yet published in the Official Journal of the European Journal, there is…
Recorded Webinar: MiFID II: Data for transparency
Markets in Financial Instruments II (MiFID II) makes sweeping changes to pre- and post-trade transparency, extending MiFID requirements limited to equities trades on regulated platforms to cover equity-like and non-equity instruments traded on any trading venue. It also requires trade data to be published through approved arrangements and made available on a consolidated tape. Achieving…
Recorded Webinar: Driving business value from the LEI
The Legal Entity Identifier (LEI) has become a viable standard to help financial institutions identify business entities that are party to financial transactions and fulfil regulatory obligations for entity data. Linked to third-party, corporate hierarchy and beneficial ownership data, the potential of the LEI extends to meet not only regulatory requirements, but also the need…
MiFID II and PRIIPs: The Double Act
By: Ronan Brennan, chief technology officer, Silverfinch As at 1st January 2018, the financial services industry will be served a double whammy of regulation – Markets in Financial Instruments Directive II (MiFID II) and Packaged Retail and Insurance-based Investment Products (PRIIPs). While there are key differences between these two regulations, the common characteristics are worth…
ESMA States its Case on Distributed Ledger Technology
The European Securities and Markets Authority (ESMA) has stepped into industry discussion on the pros and cons of distributed ledger – or blockchain – technology (DLT) and concluded that regulatory action is premature at this stage, but may not be in the longer term. The authority issued a report this week, The Distributed Ledger Technology…
Thomson Reuters Builds Out Regulatory Change Management Offer
Thomson Reuters’ release of Regulatory Change Management is designed to help financial institutions harmonise their approach to regulatory change and compliance, mitigate risk and reduce administrative costs. The introduction of RCM follows Thomson Reuters’ acquisition of UK-based regulatory technology provider Empowered Systems in March 2016. RCM is offered on Thomson Reuters’ Connected Risk platform and…
Recorded Webinar: MiFID II: Data for best execution
Markets in Financial Instruments Directive II (MiFID II) strengthens the best execution requirement embedded in MiFID by expanding disclosure. Among the directive’s requirements are provisions to ensure investment firms provide appropriate information to clients on their order execution policy and publish a list of the top five execution venues used in the previous year for…
Silverfinch Builds Data Aggregation Templates into PRIIPS Solution
Silverfinch is building templates designed to aggregate and distribute data required by Packaged Retail Investment and Insurance Products (PRIIPs) regulation for Key Information Documents (KIDs) into its PRIIPs compliance engine. The company plans to finalise the solution following the release of Level 2 Regulatory Technical Standards (RTS) that could be published by the European Commission…