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Is the End in Sight? Plotting the Journey to Consolidated Tape in the EU and UK Markets
By Anne Plested, MCSI, Senior Product Manager for Regulation, ION Markets. The realization of consolidated tape has been long-awaited for equities trading in the UK and the European Union (EU). With the European Commission (EC) adopting the enabling technical standards on 12 June and the European Securities and Markets Authority (ESMA) launching its search for…
Providers of SFDR Reporting Solutions
Europe’s ESG regulatory space is dominated by the Sustainable Finance Disclosure Regulation, which requires listed companies in the bloc to declare the sustainability credentials of the funds they manufacture and the assets in which invest. Its intention is to give investors and advisers a clearer understanding of how sustainable investments are. Compliance requires the reporting…
AI in Capital Markets Summit NYC 2025: Seats Filling Fast – Book Now
Following a successful second event in London, the AI in Capital Markets Summit (AICMS) arrives in New York City for the first time on June 26, 2025, to advance the critical industry conversation about artificial intelligence – from experimentation to production. Hosted by A-Team Group at @Ease on Third Avenue, this timely event is a…
FCA Rings the Bell for PISCES – A New Market for Private Company Shares
The Financial Conduct Authority (FCA) has launched the Private Intermittent Securities and Capital Exchange System (PISCES). Announced as an innovative sandbox initiative, PISCES represents a significant evolution in the structure and accessibility of private company shares, through periodic trading events under a tailored regulatory environment. Designed as a five-year pilot, the initiative seeks to test…
Regulations in the Balance as Institutions Remain Sustainability-Focussed: ESG Summit London Review
Despite a perception that ESG is in retreat around the world, financial institutions continue to take the issue very seriously as a matter of risk management, a trend that continues to exert an influence on the data demands of organisations. It isn’t even the compliance imperatives of organisations operating in heavily regulated parts of the…
Why Implementing Digital Regulatory Reporting is Vital for Compliance
The regulatory burden is increasing year on year and with the mounting threat of fines, financial firms must ensure compliance. Leo Labeis, CEO of REGnosys, explores how firms can implement digital regulatory reporting properly to help and ensure future competitiveness. Financial Institutions face mounting pressure to stay compliant with significant regulatory rewrites across Europe, Japan,…
NeoXam Enhances Gérifonds’ Regulatory Compliance Capabilities
Gérifonds, a fund management subsidiary of Banque Cantonale Vaudoise (BCV), has expanded its long-standing relationship with software provider NeoXam, aiming to improve regulatory compliance and operational efficiency. Operating in Switzerland’s demanding regulatory environment, Gérifonds manages 138 funds totalling CHF 21.6 billion. To navigate complex regulations – such as the Collective Investment Schemes Act (CISA) and…
LeapXpert Acquires StartADAM and Broadens Channel Compliance Coverage
Communications compliance provider LeapXpert has acquired cross-platform messaging startup StartADAM extending its reach in the governed-messaging niche. Announced in New York on June 3, the deal folds StartADAM’s people, intellectual property, and product into The LeapXpert Communications Platform, adding fresh AI muscle, two new messaging channels, and three CRM connectors. By integrating StartADAM’s agentic AI…
The Future of Wealth Management: The Rise of Alternatives and Digital Transformation
By Tom Carey, Corporate Vice President, President of Global Technology and Operations at Broadridge. Wealth management stands at a pivotal crossroads, poised for revolutionary change that will fundamentally reshape the delivery, consumption and value of financial services. Global assets under management are projected to reach $145.4 trillion by 2026, with alternative investments growing at twice…
Fenergo Enhances Financial Crime Compliance Capabilities with Agentic AI Integration
Fenergo has introduced an updated financial crime solution – the FinCrime Operating System (FinCrime OS) – featuring a new agentic AI layer aimed at significantly improving operational efficiency within financial institutions. This development comes against a background of spiralling operational costs and rising compliance demands enhanced by geopolitical tension and regulatory flux. Marc Murphy, CEO,…