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Thomson Reuters Bolsters CDS Risk Service

July 21, 2015 by Ryan Boysen

Thomson Reuters has bolstered its credit risk offerings by adding StarMine Credit Default models to its DataScope suite, bringing together “on one platform reference data, core ratings agency data, pricing and analytics,” according to a company statement. The new StarMine Credit Default models are exclusive to Thomson Reuters and will provide data services that enable… Read More >>

Filed Under: General Interest, Industry News Tagged With: CFTC, compliance, credit risk, data management, Dodd-Frank, EMIR, Thomson Reuters

FCA Head to Step Down

July 17, 2015 by Eugene Grygo

U.K. regulator, the Financial Conduct Authority (FCA) reports that after four years Martin Wheatley will be leaving his post as chief executive on September 12 and will be replaced temporarily by Tracey McDermott, an executive board member and director of supervision. A search is underway for a permanent chief executive, FCA officials say. Wheatley will… Read More >>

Filed Under: Industry News, People Moves Tagged With: compliance, Dodd-Frank, EMIR, FCA

Euro Regs Top Concern for Boutique Asset Managers

July 14, 2015 by Louis Chunovic

The number-one concern among 110 boutique asset managers, nearly 90 percent of whom are doing business in European markets, is market regulation. That concern was cited by 68 percent of managers polled in a survey conducted by the Tabb Group for SunGard. By comparison, just 17 percent cited regulations first in a similar 2013 survey…. Read More >>

Filed Under: Buy-Side, Regulation & Compliance Tagged With: EMIR, Euro, Greece, MiFID II, regulation, UCITS IV/V

‘Joss offerings will be integrated with AIM’s suite’

July 14, 2015 by Eugene Grygo

 AIM Software, based in Vienna, Austria, is completing its acquisition of New York-based entity data management vendor Joss Technology, according to Olivier Kenji Mathurin, head of product marketing and research for the data management vendor. Joss Technology is the maker of the Entity Data Management System (EDMS), the “entity master” that uses a fuzzy logic… Read More >>

Filed Under: Opinion, Q&As Tagged With: AIM Software, compliance, corporate actions, data management, Dodd-Frank, EMIR, FATCA, ISO 20022, Joss Technology, KYC, LEI, operations, reconciliation, SEC

GMEX’s IRS CMF Contracts to Launch Next Month

July 7, 2015 by Ryan Boysen

Financial conglomerate Global Markets Exchange Group (GMEX) will begin providing a Euro-denominated, constant maturity interest rate swaps, dubbed the IRS Constant Maturity Future (CMF) contracts, for trading and clearing on Eurex, starting August 7, officials say. Constant maturity swaps are a variation of interest rate swaps for which the floating interest portion is reset periodically… Read More >>

Filed Under: General Interest, Industry News Tagged With: compliance, constant maturity swaps, EMIR, Eurex, GMEX, interest rate swaps

Goldman Sachs Hit with $7M Penalty for Software Glitch

July 7, 2015 by Ryan Boysen

U.S. regulator, the SEC has hit investment banking giant Goldman Sachs with a $7 million penalty for allegedly violating the market access rule, “in connection with a trading incident that resulted in erroneous executions of options contracts,” officials say. An SEC investigation found that Goldman sent out roughly 16,000 mispriced options to various exchanges in… Read More >>

Filed Under: General Interest, Regulation & Compliance, Industry News Tagged With: CFTC, derivatives, Dodd-Frank, EMIR, Goldman Sachs, market access rule, operations, Options, SEC, SEC enforcement

Wolters Kluwer: FTRB Could Be a Headache for Firms

June 23, 2015 by Ryan Boysen

Financial firms should start planning in advance for how well they’ll be able to comply with the Basel Committee for Banking Supervision’s (BCBS) proposed Fundamental Review of the Trading Book (FRTB) – or whether they’ll have to at all, according to a new whitepaper out by consultancy Wolters Kluwer Financial Services. The FTRB is currently… Read More >>

Filed Under: Risk Management, FinTech Trends, Regulation & Compliance Tagged With: Basel, Basel Committee, compliance, data management, EMIR, FRTB, trading book

SunGard Launches Utility for OTC Clearing

June 9, 2015 by Eugene Grygo

Financial technology and services giant SunGard has launched its Post-Trade Derivatives Utility with Barclays as its anchor customer and is targeting futures commission merchants (FCMs) that need alternative services support, officials say. SunGard’s utility offers support for derivatives clearing operations and technology services for trade clearing, trade lifecycle management, margin processing, brokerage, reconciliation, data management… Read More >>

Filed Under: General Interest, Industry News Tagged With: CFTC, compliance, data management, Dodd-Frank, EMIR, FCM, SEC, SunGard

The Fed Hits Six Banks with Record Fines

May 20, 2015 by Eugene Grygo

The Federal Reserve has imposed $1.8 billion in fines, “among the largest ever assessed,” against UBS, Barclays Bank, Citigroup, JPMorgan Chase & Co., the Royal Bank of Scotland (RBS) and Bank of America Corp. (BofA) for what Fed officials call “their unsafe and unsound practices in the foreign exchange (FX) markets.” The dollar amounts for… Read More >>

Filed Under: General Interest, Regulation & Compliance, Industry News Tagged With: Bank of America, Barclays Bank, CFTC, Citi, compliance, data management, Dodd-Frank, EMIR, FCA, FX, JPMorgan Chase, LIBOR, RBS, SEC, structured products, The Federal Reserve, UBS

Stifel Nicolaus Europe Picks Thomson Reuters KYC Service

May 19, 2015 by Louis Chunovic

Thomson Reuters, an information company, reports that the venerable Stifel Nicolaus Europe investment management firm has picked the Org ID KYC managed service to streamline Stifel’s know-your-customer (KYC) process. Specifically, Stifel Nicolaus Europe will be using the Thomson Reuters Org ID service to “onboard their European legal entities. The adoption of the Org ID global… Read More >>

Filed Under: Operational Risk, General Interest, Industry News Tagged With: Blackrock, CFTC, compliance, data management, Dodd-Frank, EMIR, KYC registry, Stifel Nicolaus Europe, Thomson Reuters, Thomson Reuters Org ID

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