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regulations
SmartStream and RegTek.Solutions Partner Provide Turnkey Recon Solution
- The new service will reconcile internal and reported data.
Sunday, 08/10/2017 | 08:46 GMT by
Colin Firth
MFSA Issues Warning Against Three Unauthorised Brokers
- The three firms are Capital Markets Banc, Marketier Holding Limited and Smart Choice Zone LLP.
Monday, 25/09/2017 | 13:10 GMT by
Colin Firth
Deutsche Börse Partners with SmartStream for Regulatory Reporting Hub
- Deutsche Börse continues to help clients and institutions meet regulatory requirements.
Monday, 25/09/2017 | 08:04 GMT by
Colin Firth
Barings to Absorb External Research Cost Resulting from MiFID II Regulations
- Firms are assessing the impact of rising costs resulting from the implementation of MiFID II.
Tuesday, 19/09/2017 | 18:05 GMT by
Colin Firth
CONSOB Suspends Cryp Trade Capital from Market for 90 Days
- Cryp Trade Capital has been issuing investment portfolios without authorization.
Tuesday, 19/09/2017 | 12:42 GMT by
Colin Firth
Corlytics Appoints Stacey English of Thomson Reuters to Board
- Corlytics hopes that this appointment will movie it into a prime position in the regulatory risk analysis space.
Monday, 18/09/2017 | 09:58 GMT by
Colin Firth
Merrill Lynch Pays $60,000 Fine for Inappropriate Order Limits in Australia
- MLAF set inappropriate order limits in its upstream and downstream systems, undetected for 6 years.
Tuesday, 12/09/2017 | 06:43 GMT by
Colin Firth
CONSOB Issues Warning Against Host of Unauthorised Companies
- The regulatory authority issues warnings against unauthorised companies.
Monday, 04/09/2017 | 15:44 GMT by
Colin Firth
Hedge Funds Looking for Ways to Mitigate MiFID II Impact
- Two hedge funds opt for the less onerous AIFMD regulations.
Tuesday, 15/08/2017 | 16:29 GMT by
Colin Firth
FCA Urges Firms to Prepare for MiFID II Without Delay
- The new regulations are aimed at protecting investors and maintaining discipline in the financial sector.
Tuesday, 25/07/2017 | 17:59 GMT by
Colin Firth
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