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
Following publication of derogation criteria under the European Commission Delegated Act in March, ESMA has identified nine data reporting service providers that it will directly regulate
The EU securities market regulator has launched a consultation to assess industry reaction to proposed changes to cash penalty procedures under the Central Securities Depositories Regulation
Conduct risk and compliance technology provider MyComplianceOffice has launched Know Your Risk, a government and oversight suite of modular solutions allowing firms to set regulatory priorities
Regnology’s membership to the programme will facilitate transaction reporting for its customers ahead of the implementation phase of European Market Infrastructure Regulation REFIT
The mandate will allow Clearstream clients to validate and automate shareholder ID requests from trusted sources in industry compliant formats, eliminating the need for manual intervention
The mandate will allow TMF Group access to screening and compliance security — supporting evidence and risk-based operational monitoring to meet regulatory requirements
The RMBLA will provide liquidity support through a reserve pooling scheme, whereby participating central banks will contribute a minimum of RMB 15 billion, and will have access to funds from this pool and via a collateralised liquidity window
The International Securities Lending Association has responded to the European Commission consultation regarding proposed amendments to settlement discipline provisions of the Central Securities Depositories Regulation
