All regulation news

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

Russell Investments sticks with ACA for regulatory compliance

28 September 2022 US
Reporter: Jenna Lomax

Russell Investments has selected ACA’s Regulatory Reporting Monitoring & Assurance service to help manage its transaction reporting arrangements

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

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

Broadridge expands DMS product suite into Denmark

12 September 2022 Denmark
Reporter: Lucy Carter

Broadridge Financial Solutions has launched its ‘golden copy’ event notification and direct vote execution services in Denmark

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

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

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

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

ESMA announces data reporting agencies that it will supervise directly

13 July 2022 EU
Reporter: Bob Currie

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

ESMA consults on cash penalty procedures under CSDR

12 July 2022 EU
Reporter: AST

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

MCO launches Know Your Risk solution

01 July 2022 Ireland
Reporter: Rebecca Delaney

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

Get in touch

Home

Facebook

RSS feed

News