711 articles tagged with this keyword
News/Reporting/compliance
Nasdaq OMX has postponed plans to introduce interoperable clearing in the Nordic cash equity markets in April, citing regulatory uncertainties.
26 March 2012
Coutts, the private bank owned by RBS, has been fined £8.75 million by the Financial Services Authority (FSA) for anti-money laundering systems and controls failings.
The broker-dealer unit of Getco has been fined $450,000 for failing to properly supervise its high-frequency trading.
23 March 2012
Financial industry association Isitc says that nearly two thirds of its members plan to increase their information technology spending over the next two years as regulatory compliance continues to dominate the agenda.
12 March 2012
Thomson Reuters has failed to appease EU antitrust bodies over proposed concessions in the way it licenses the proprietary Reuters Instrument Codes.
08 March 2012
The European Commission is promising to shake up cross-border securities settlement in the EU by cutting settlement timeframes and establishing a common regulatory framework for the region's 30+ central securities depositories.
07 March 2012
The European Securities and Markets Authority (Esma) has given national securities watchdogs two months to declare their plans for enforcing new rules on scrutinising high frequency trading activities.
24 February 2012
UK and Swiss regulators have launched formal proceedings against UBS over the £2.3 billion unauthorised trading loss made at the bank last year.
03 February 2012
International regulatory authorities have called for the urgent creation of a universal Legal Entity Identifier (LEI) in their final report on the OTC derivatives data that should be collected, stored and disseminated by trade repositories (TRs).
17 January 2012
Despite ongoing economic turmoil, global spending on retail banking technology will increase by $3.6 billion - 3.2% - in 2012, and will hit $135 billion over the next five years, according to analyst house Ovum.
13 January 2012
The Securities and Exchange Commission has charged an investment adviser with trying to sell $500 billion-worth of fictitious securities on LinkedIn and other social networking sites.
05 January 2012
Lombard Risk Management has acquired the regulatory reporting business of Sofgen for $4.25 million in cash, loan notes and equity.
19 December 2011
Swedish technology supplier Cinnober has released a subscription-based hosted service for banks and brokerages looking to create an Organised Trading Facility in line with new European marketplace regulations.
08 December 2011
Nicola 'Superwoman' Horlick and Brian Winterflood will lead a high-powered panel of City executives debating the future of European securities markets at Finextra's final Post-Trade Forum event of the year, which takes place at the London Stock Exchange later this month.
11 November 2011
The Securities and Exchange Commission has charged Longtop Financial Technologies with failing to file accurate reports, paving the way for a ban on broker-dealers trading in the Chinese fintech vendor.
US watchdog Finra has been given a taste of its own medicine, scolded by the Securities and Exchange Commission (SEC) for allegedly doctoring documents before passing them on.
28 October 2011
The Financial Industry Regulatory Authority (Finra) has fined UBS Securities $12 million for failing to properly supervise short sales of securities.
26 October 2011
Pipeline Trading Systems will pay $1 million to settle SEC charges that it failed to tell users of its dark pool that the vast majority of orders were filed by an affiliated operation.
25 October 2011
In the wake of its recent $2.3 billion loss through unauthorised trading, Swiss bank UBS has admitted that internal controls were "not effective".
The European Commission has vowed to get tough on insider dealing and market manipulation, proposing EU-wide rules on minimum criminal sanctions.
20 October 2011
Welcome to Finextra. We use cookies to help us to deliver our services. You may change your preferences at our Cookie Centre.
Please read our Privacy Policy.