709 articles tagged with this keyword
News/Reporting/compliance
Pan-European equity trading venue Quote MTF has severed all ties with Peter Beck, controversial CEO of the former day trading firm Swift Trade, which has run foul of global regulators for alleged market abuse.
17 October 2011
The Securities and Exchange Commission (SEC) has voted to push for a rule making security-based swap entities electronically file their registration with regulators.
13 October 2011
Delegates at the annual user conference of financial messaging body Swift were given more information about the development of the legal entity identifier (LEI) messaging standard designed to produce an electronic tag for the counterparties in all securities transactions
22 September 2011
Financial stability within the EU is at risk unless decisive and swift action is implemented by all authorities, according to a warning issued by the European Systemic Risk Board (ESRB), the EU's super-watchdog.
21 September 2011
The British government is to sue the European Central Bank over draft regulations that would force major clearing houses to relocate their operations away from the City of London.
15 September 2011
The Securities and Exchange Commission (SEC) has asked a federal court to force the Chinese arm of accounting outfit Deloitte & Touche to hand over documents related to possible fraud by Longtop Financial Technologies.
09 September 2011
Financial institutions are struggling to calculate market and credit risk in real time, posing an intraday risk to their business operations, according to research carried out by analytics vendor Quartet FS.
06 September 2011
The Futures Industry Association (FIA) says its members have been "shocked and outraged" by the leaking of confidential oil trading data by a US senator.
31 August 2011
Florida-based Ocean Bank has been fined nearly $11 million for "wilfully" failing to establish an anti-money laundering (AML) programme.
25 August 2011
US regulatory body Finra has set out its latest guidance to securities firms and brokers on the use of social media sites such as Facebook, Twitter and LinkedIn.
24 August 2011
The London Stock Exchange has agreed a £15 million cash deal to buy the Financial Services Authority's Transaction Reporting Service (TRS).
02 August 2011
The Securities and Exchange Commission is pressing ahead with the creation of a system to collect transaction data from large traders such as banks and hedge funds that will help it to investigate wild stock market swings like last year's May 6 flash crash.
27 July 2011
The Dodd-Frank Act will lead to around 60% of current US over-the-counter (OTC) derivatives market by volume being cleared centrally, according to Citi.
13 July 2011
Industry group XBRL US has launched a Facebook competition, offering $20,000 to the person or group that comes up with the best open source analytical application for investors that uses the format.
12 July 2011
Financial messaging network Swift and the Depository Trust and Clearing Corporation (DTCC) have won two separate industry data management mandates, for the development of a Legal Entity Identifier (LEI) utility and electronic foreign exchange repository.
Interdealer broker Icap has appointed Deutsche Bank veteran Mark Price as group chief operating officer.
11 July 2011
Thomson Reuters has set a mid-2012 deadline to get its trading platforms ready for forthcoming OTC derivatives regulations, as it releases research which shows clear bank unease at the uncertain impact of the new rules on front and back office operations.
Securities regulators are to explore the feasibility of an overhaul of financial market reporting, audit and surveillance mechanisms in an effort to keep pace with the increasing volumes of data generated by technology-powered trading
07 July 2011
Shares in major US issuing banks and card schemes moved up late Tuesday as the Federal Reserve issued a watered-down take on the Durbin Amendment on interchange fees, setting the cap at 21 cents per transaction, rather than the 12 cent ceiling proposed in earlier consultations.
30 June 2011
US banks have been told by regulators to improve online banking authentication to protect customers increasingly at risk from fraud.
29 June 2011
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