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 Reporting has acquired MDM Compliance Systems, a provider of shareholding disclosure management, monitoring and reporting solutions
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
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
At first glance, last week’s publication of a letter about AIFMD from ESMA to the EC doesn’t seem like big news. Isn’t AIFMD a somewhat obscure piece of legislation that is a minority interest? Not really
The Hong Kong Securities and Futures Commission has proposed amendments to the open-ended fund companies regime in Hong Kong
The industry is “ready to varying degrees” for SRD II, which went live today, according to Demi Derem, general manager, investor communication solutions international of Broadridge
