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Compliance
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Nadine Azzam Joins Tauro Markets as Partner-CEO MENA
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Nadine Azzam Joins Tauro Markets as Partner-CEO MENA
Thought Leadership
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compliance
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News
ADGM Partners with CoreFiling to Enhance Reporting and Compliance Procedures
2017-09-20T11:42:25.000+02:00
ADGM hopes to better address the needs of its stakeholders through this partnership.
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Colin Firth
Executive Moves
Compliance Officer and Director Demetris Kyriacou Leaves IronFX
2017-09-12T16:35:15.000+02:00
The board seat is vacated as the company received a significant investment from a Middle East family office.
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Regulation
Trax Gains APA Authorization for its MiFID II Solutions Suite
2017-08-25T14:35:52.000+02:00
Today's FCA authorization opens up new opportunities for Trax's offering as MiFID II looms.
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Regulation
FCA Grants APA Approval for Bloomberg’s MiFID II Solutions
2017-08-25T11:56:58.000+02:00
The approval is welcome news for Bloomberg which has already begun testing its end-to-end APA workflow.
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Blogs
Senior Managers Regime Compliance Could Usher in a New Era of Joint Working
2017-08-14T21:59:08.000+02:00
The new SMR seeks to strengthen personal accountability in financial institutions.
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Guest Contributors Institutional
Execution
NEX Optimisation Undergoes Network Upgrade for Harmony Ahead of MIFID II
2017-08-08T12:51:44.000+02:00
The upgrade will strengthen transparency measures surrounding Traiana's Harmony messaging network.
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Products
Marketing Agency Contentworks Launches Compliant Affiliate Content Product
2017-07-05T17:34:01.000+02:00
For websites that are keen to continue operating in the industry, the alternative is rather expensive.
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Executive Moves
Fullerton Markets Promotes Paul Turner, Hires New Compliance Exec
2017-06-30T11:01:58.000+02:00
Paul Turner has been elected to the position of Executive Director at Fullerton Markets
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Execution
Eze Software Deploys New Platform, Focusing on MiFID II Buy-Side Obligations
2017-06-21T15:59:57.000+02:00
The platform focuses on research evaluation, budgeting, unbundling, and the specification of RPA payments.
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Prime Brokerage
Credit Suisse Deploys Robots to Answer Compliance Questions
2017-05-02T21:20:11.000+02:00
Swiss banking giant Credit Suisse is using a brand new approach to tackle regulatory burdens
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Prime Brokerage
Deutsche Bank’s Compliance Staff Hiring Bucks Trend of Layoffs
2017-05-01T13:34:01.000+02:00
At least one segment of Deutsche Bank has seen an increase of hires at a time when the rest of personnel are on notice.
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Technology
Match-Trade Technologies Deploys MiFID II, ESMA Compliant Service
2017-03-20T16:03:59.000+02:00
Match-Trade Technologies has introduced a new solution for brokers as the regulatory playing field takes shape.
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Regulation
Abide Financial Acquisition Yields New NEX Regulatory Reporting Solution
2017-03-09T10:56:40.000+02:00
The new compliance solution from NEX is a direct result of its Abide Financial acquisition into MiFID II reporting.
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Prime Brokerage
Stater Global Markets Onboards David Dohmen as Head of Compliance
2017-02-09T13:02:42.000+02:00
Dohmen joins the firm after spending over 17 years of his career in legal and compliance roles in Amsterdam and London.
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Regulation
Redtail Integrates RIA in a Box to Facilitate Regulatory Compliance Tasks
2017-02-01T08:37:57.000+02:00
The integration allows shared clients to view and complete tailored regulatory compliance tasks within the Redtail CRM.
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Regulation
AQMetrics Upgrades its Compliance Suite for MiFID II Compatibility
2017-01-12T13:28:54.000+02:00
Ahead of MiFID II, AQMetrics is strengthening its risk management capabilities for buy- and sell-side firms.
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Regulation
Risk Focus Signs Up to UnaVista’s Partner Programme
2016-12-13T16:02:19.000+02:00
The partnership will enable the firm to deliver the independent controls demanded by ESMA’s MiFIR regulations.
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Technology
The Beast Apps Launches Minotaur to Provide MiFIDII Component Integration System
2016-12-07T14:34:23.000+02:00
The solution helps banks deploy a comprehensive MiFID II solution ahead of the January 2018 deadline.
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Regulation
OTC Markets Launches Enhanced Compliance Analytics to Facilitate Risk Management
2016-11-30T10:04:19.000+02:00
The solution helps broker-dealers to more efficiently manage risk when trading OTCQX, OTCQB, Pink and Grey Market securities.
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Blogs
The Changing Face of Compliance and Why You Should Be Concerned
2016-11-02T13:42:38.000+02:00
What caused compliance and risk management to become the foremost concern of all financial services providers?
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Expert Insights
Risk Management, More Than Just A Book and B Book
2016-10-21T08:00:11.000+02:00
Do you meet critical security and compliance requirements? Security isn't just smart, it’s often the law.
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Technology
Trapets Chosen by Otkritie Capital to Host Trading Surveillance and AML System
2016-10-17T10:06:24.000+02:00
The solution aims to detect market abuse and money laundering concerns for financial institutions.
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Execution
BNP Implements Commcise Buy in Response to Regulatory Requirements
2016-09-06T09:21:53.000+02:00
Commcise will deliver a fully integrated cloud based solution for BNP's investment management division.
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Products
Product Review: Osyspro Aiming to Solve Compliance Problems for Binary Brokers
2016-08-30T20:34:27.000+02:00
The solution is also opening the door for a new model that could make the binary options broker business more sustainable.
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Regulation
Every Mail You Send, Every Call You Make - Fonetic is Watching You
2016-08-29T11:32:07.000+02:00
By email, phone call or chat, recording customer-supplier communications is vital. Fonetic USA CEO explains how it's done.
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Dan Magen
See more
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