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Governance

March 17, 2015 - New independent research commissioned by SWIFT reveals that regulation, automation and financial crime compliance initiatives are top priorities for the investment management community in 2015.

March 16, 2015 - Global IT association ISACA has issued nine key action items to help companies reduce costs, improve communication and operate more efficiently by improving the governance over their information and technology. In a new free guide titled “Getting Started With Governance of Enterprise IT (GEIT),” ISACA recommends a three-phased plan:

February 10, 2015Deutsche Börse Market Data + Services plans to introduce a strategic global regulatory reporting application for the energy market. The reporting solution will automate, and thereby facilitate, reporting of orders and trades on spot and derivatives markets as required under the EU Regulation on wholesale energy market integrity and transparency (REMIT), which will come into effect in 2015.

January 16, 2015 - The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.

March 10, 2015 - The rush to implement new digital technologies has overtaken regulatory worries as the highest priority for global banking executives, according to a new report from the Economist Intelligence Unit.

January 30, 2015 - New Chinese regulations mean that tech firms hoping to sign up the country's banks as customers will have to turn over their code, agree to audits and build back doors into their hardware and software.

January 9, 2015 - Meeting the demanding new requirements imposed upon firms by SEC Regulation SCI is a key issue for many firms, especially in the areas of independent systems testing and certification. Tellefsen and Company, L.L.C. (Tellefsen) and Exactpro Systems (Exactpro) have today announced a marketing partnership in which both firms will collaborate to provide key industry constituents with market structure consulting, financial technology infrastructure testing and software quality assurance testing services.

March 6, 2015 - A 16-year-old believed to have carried out hundreds of cyber attacks on businesses, and a family of suspected fraudsters are among 35 people arrested by the Metropolitan Police Service (MPS) during a nationwide campaign to bring down cyber criminals.

January 27, 2015 - The European Payments Council (EPC), representing the European banking industry in relation to payments, today published a further iteration of the SEPA Direct Debit (SDD) Rulebooks, i.e. the SDD Core Rulebook version 9.0 and the SDD Business to Business (B2B) Rulebook version 7.0.The SDD Core Rulebook version 9.0, the SDD B2B Rulebook version 7.0 and associated implementation guidelines will take effect on 20 November 2016.

December 19, 2014 - The European Securities and Markets Authority (ESMA) has published today its final technical advice (TA) and launches a consultation on its draft regulatory technical and implementing standards (RTS/ ITS) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).

February 25, 2015 - The New York State Department of Financial Services (DFS) is planning to step up the fight against money laundering by carrying out random audits of Wall Street banks' transaction monitoring and filtering systems.

January 20, 2015 - Securities compliance experts from Wolters Kluwer Financial Services have published commentary outlining key regulatory trends expected to impact U.S. securities firms in 2015. The outlook considers the regulatory landscape at a time four and a half years since the Dodd-Frank Act was passed into law. Given the context that only about half of the rules have been finalized and we are less than half way to implementation, trends indicate regulation will continue to increase over the coming year and in the near future.

December 18, 2014 - Banks and insurers are moving away from perceiving regulation as a cost centre and in 2015 will be using it as a way to shoehorn extra budget for technological innovation within their organisations, according to predictions from business technology change consultancy Certeco.

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