All regulation news

AxiomSL addresses new EU reg requirements with new solution

09 October 2020 London
Reporter: Maddie Saghir

AxiomSL has created a new solution to address the new EU requirements defined in the IFR and IFD, followed by the UK requirements from FCA that have yet to be finalised

Schroders selects SteelEye to improve MiFIR transaction reporting

29 September 2020 London
Reporter: Maddie Saghir

SteelEye has been selected by Schroders to improve its Markets in Financial Instruments Regulation transaction reporting

ESMA publishes draft rules for third country firms under MiFID II

28 September 2020 Brussels
Reporter: Maddie Saghir

ESMA has published draft regulatory and implementing technical standards for third-country firms under MiFIR and MiFID II regimes

Deutsche Boerse's withdrawal from regtech raises concerns

24 September 2020 London
Reporter: Natalie Turner

As the second regulatory service provider to leave the market this year, DB’s hub sale to MarketAxess is expected to inflate pricing and put pressure on clients to align with a single provider

MarketAxess snaps up Deutsche Boerse’s Regulatory Reporting Hub

23 September 2020 Frankfurt
Reporter: Drew Nicol

MarketAxess says acquiring the Regulatory Reporting Hub will help to further expand and enhance its established services particularly in Germany, France and the Nordics

AxiomSL expands European regulatory presence

22 September 2020 London
Reporter: Rebecca Delaney

AxiomSL has partnered with Confinale to provide regulatory reporting via a data integrity and control platform in Switzerland, Germany and Liechtenstein

State Street: firms ‘unprepared’ for UMR compliance

21 September 2020 Boston
Reporter: Rebecca Delaney

81 percent of asset management firms are unprepared to comply with the Uncleared Margin Rules despite deadline extensions to September 2021 and September 2022, according to a new survey by State Street

Smith & Williamson selects Broadridge’s SRD II solution

15 September 2020 New York
Reporter: Maddie Saghir

Broadridge is set to provide Smith & Williamson Group, a financial and professional services firm in the UK and Ireland, with its SRD II solution for proxy voting

Instant Actions addresses data risks related to SRD II

11 September 2020 London
Reporter: Maddie Saghir

SRD II, which came into force on 3 September, requires firms providing share custody to disclose client identities and positions when requested to do so by issuers

Kaizen acquires MDM Compliance Systems as disclosure service

08 September 2020 London
Reporter: Rebecca Delaney

Kaizen Reporting has acquired MDM Compliance Systems, a provider of shareholding disclosure management, monitoring and reporting solutions

SmartStream launches derivatives registry service ahead of MiFID II deadline

08 September 2020 London
Reporter: Rebecca Delaney

SmartStream Technologies has launched a derivatives component for its systematic internaliser registry service, which is designed to help clients meet the 15 September deadline for the second Markets in Financial Instruments Directive

CSDR: ICMA calls for the removal of the requirement to appoint buy-in agent

07 September 2020 London
Reporter: Maddie Saghir

In a briefing note, ICMA outlined that as part of the broader review of the CSDR mandatory buy-in framework, the requirement to appoint a buy-in agent should be removed

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