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All regulation news

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Deloitte and AccessFintech partner on CAT solution


11 October 2022 UK
Reporter: Lucy Carter

Deloitte has partnered with AccessFintech to create a solution for the upcoming Consolidation Audit Trail regulation, integrating it into clients’ infrastructure
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Broadridge launches Austrian proxy voting service


10 October 2022 Austria
Reporter: Lucy Carter

Broadridge has announced the Austrian launch of its “market golden copy” event sourcing and proxy vote execution service, available for banks, brokers and wealth managers
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CSDR not yet ironed out, say AFME panellists


03 October 2022 UK
Reporter: Lucy Carter

The question of whether there is “life after CSDR'' was left unanswered by panellists at AFME’s inaugural Operations, Post-Trade, Technology & Innovation Conference
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SRDII not yet problem-free, say AFME panellists


03 October 2022 London
Reporter: Lucy Carter

The panel, entitled ‘Using Technology to Connect Issuers and Investors’, discussed the second Shareholder Rights Directive and the progress it has made since its implementation in 2017
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Regulation still has a long way to go, ALFI panel agrees


21 September 2022 Luxembourg
Reporter: Lucy Carter

Although regulation is going in the right direction, there is still a long road ahead, panelists at this years’ Association of the Luxembourg Fund Industry (ALFI) Global Distribution Conference agreed
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Basel Committee to publish Basel framework report


16 September 2022 Switzerland
Reporter: Lucy Carter

The Basel Committee has agreed to publish a report on buffer usability and cyclicality in the Basel framework, following consideration of a 2021 interim evaluation report
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Northern Trust bolsters capital markets team


06 September 2022 US
Reporter: Lucy Carter

Northern Trust has welcomed a series of hires within its global capital markets business, and has also established a dedicated capital markets client solutions team
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DekaBank picks Broadridge for SRD II compliance


06 September 2022 London
Reporter: Lucy Carter

Broadridge’s solutions will support DekaBank’s expanding European client base, consisting of German savings banks and DekaBank’s own private bank
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UMR Phase 6 implemented today


01 September 2022 Europe
Reporter: Lucy Carter

The last element of a gradual rollout, UMR Phase 6 extends compliance requirements to firms with total notional exposure of €8 billion
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ION Markets launches new solution for compliance


19 July 2022 US
Reporter: Jenna Lomax

ION’s Compliance SaaS solution enables real-time oversight of pre-and post-trading, and offers full coverage of asset types, with an automated compliance checking process and investment transparency