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Institutional FX

Broadridge Strengthens Ties with Baader Bank through Regulatory Reporting Deal

  • Baader Bank selects fintech's platform for regulatory trade and transaction reporting.
  • The partnership focuses on multiple jurisdictions and asset classes.
Thursday, 21/03/2024 | 08:04 GMT by Damian Chmiel
Retail FX

Intricacies of Regulatory Reporting: "AI Helps, but Brings Its Own Set of Challenges"

  • Finance Magnates talked to several regtech experts to know the nuances of regulatory reporting.
  • "Each regulator is putting their own spin on things... for no discernibly necessary reason," Quinn Perrott said.
Tuesday, 20/02/2024 | 13:40 GMT by Arnab Shome
Institutional FX

US Data Analytics Firm BXS Launches New Trade Surveillance Platform

  • The platform helps to streamline alerts, investigations and case management.
  • FINRA fined E*TRADE $350k in January for surveillance failures.
Monday, 11/07/2022 | 14:45 GMT by Solomon Oladipupo
Regulation

The Brokers’ Journey to New Reporting Post Market Participants’ Departures

  • For brokers, the next four months may be paved with obstacles while trying to find a new reporting home
Sunday, 28/06/2020 | 09:38 GMT by Ronen Kertis
Regulation

ASIC Extends Reporting Deadline for Unlisted Entities

  • The deadline has been extended for balance dates from 31 December 2019 to 31 March 2020.
Thursday, 09/04/2020 | 07:29 GMT by Celeste Skinner
Regulation

FCA Relaxes Financial Reporting Deadline for Listed Companies

  • Companies now have 6 months to publish audited annual reports from the end of the financial year.
Thursday, 26/03/2020 | 11:17 GMT by Celeste Skinner
Thought Leaders

Can ODPs Bring Transparency to South Africa’s FX & Derivatives Industry?

  • The new regulations concerning ODPs are meant to ensure proper conduct by ODPs & protect investors
Thursday, 26/03/2020 | 08:00 GMT by Finance Magnates Staff
Regulation

Luxembourg’s CSSF Relaxes Reporting Obligations Amid COVID-19

  • The CSSF won’t apply a strict enforcement policy for delays in reporting, as long as they are justified.
Tuesday, 24/03/2020 | 07:49 GMT by Celeste Skinner
Regulation

ESMA Lowers Reporting Threshold for Net Short Positions

  • The regulator has implemented the measures as a precautionary action regarding coronavirus.
Monday, 16/03/2020 | 13:52 GMT by Celeste Skinner
Regulation

ASIC Reminds Retail OTC Firms of Reporting Obligations Amid COVID-19

  • Firms need to notify ASIC if they have any material adverse changes to their financial position.
Friday, 13/03/2020 | 06:44 GMT by Celeste Skinner
Regulation

TRAction Launches Best Execution Monitor for Buy-Side Firms

  • The solution aims to help investment managers meet their MiFID II reporting obligations.
Wednesday, 04/03/2020 | 13:27 GMT by Celeste Skinner
Regulation

Who Needs to Meet European Trade Publication Requirements?

  • There's a lot of confusion between trade and transaction reporting - what's the difference?
Thursday, 06/02/2020 | 05:51 GMT by Celeste Skinner
Regulation

CFTC Slaps Six Institutions with Fines for Reporting Failures

  • Altogether, the fines equal more than $6 million.
Wednesday, 02/10/2019 | 06:17 GMT by Celeste Skinner
Regulation

FCA Signals More Vigilance Over Transaction Reporting

  • The UK regulator shared key data during a conference dedicated to transaction reporting in London
Monday, 20/05/2019 | 15:17 GMT by Victor Golovtchenko
Technology

Catena Technologies to Deploy SFTR Reporting Platform to REGIS-TR

  • The early testing has been completed as the companies are preparing to launch the new offering
Tuesday, 30/04/2019 | 14:03 GMT by Victor Golovtchenko
Execution

Cappitech Launches RTS 28 Market Intelligence Execution Tool

  • The solution allows firms to monitor their execution quality and identify weaknesses.
Monday, 15/04/2019 | 08:04 GMT by Celeste Skinner
Execution

Catena Expands TRACE Reporting Solution to NA and Europe

  • Catena has integrated its solution with CME Group’s trade repositories in North America and Europe.
Thursday, 10/01/2019 | 06:59 GMT by Celeste Skinner
Regulation

ASIC Announces Major Changes to Reporting Requirements

  • Full-year and half-year reports at December 31, 2018, must comply with these new accounting standards.
Monday, 03/12/2018 | 08:13 GMT by Celeste Skinner
Technology

Broadridge Announces Broker-Dealer Solution for SEC Rule 30e-3

  • The website will launch on January 1, 2019, and will help broker-dealers manage shareholder preferences.
Monday, 26/11/2018 | 14:52 GMT by Celeste Skinner
Regulation

Cappitech and Trax Join Forces to Provide MiFID II Reporting Services

  • The two firms have integrated their separate services to provide tailor-made solutions.
Thursday, 20/09/2018 | 08:11 GMT by Celeste Skinner
Regulation

Thomson Reuters Launches Reporting Solution for Investment Firms

  • RTS 27 Now will help systematic internalisers complete their first regulatory report.
Monday, 03/09/2018 | 16:23 GMT by Celeste Skinner
Technology

Cappitech Expands to Australia with CME Group Partnership

  • The regulatory reporting firm has integrated with the CME Group’s trade repository
Thursday, 16/08/2018 | 08:00 GMT by Victor Golovtchenko
Technology

Tools for Brokers Adds New Reporting Features to Its Brokers Bi Solution

  • The integrated capital adequacy and end of day reports are available for brokers already using the BBI product now.
Monday, 13/08/2018 | 09:05 GMT by Celeste Skinner
Technology

Cappitech Launches New Best Execution Solution to Compliment MiFID II Products

  • The new RTS 27 regulation is coming into force on the 30th of June
Thursday, 17/05/2018 | 16:58 GMT by Victor Golovtchenko
Exchanges

INTL FCStone Doubles Year on Year Revenue for Q1 of 2018

  • A dramatic increase in commodities sales saw the firm make substantial progress on last year's second quarter
Wednesday, 09/05/2018 | 06:38 GMT by David Kimberley
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