REGISTER

Governance

August 6, 2014 - An industry body promising to be the 'voice of UK fintech' launched today, with more than 50 founding members onboard and the backing of government.

July 30, 2014 - The Capital Markets Cooperative Research Centre (CMCRC) have published a new paper finding that SEC trading rules may be providing dark venues a regulatory advantage over traditional stock exchanges.

June 24, 2014 - Increasing regulation and compliance costs are accelerating the adoption of managed services in Australia's financial services sector, according to analysis by SunGard.

May 22, 2014 - The European Securities and Markets Authority (ESMA) has launched the consultation process for the implementation of the revised Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR).

July 22, 2014 - In new guidance issued today, global IT association ISACA outlines five principles organizations can use to effectively govern and manage their information and technology.

June 6, 2014 - Thank you for that kind introduction. And my sincere thanks to everyone here for joining this lunchtime session. It's a great pleasure and privilege to return to New York. I want to offer a few reflections this afternoon on market innovation and, in particular, the on-going debate around high frequency trading (HFT), which has dominated global media over the last few months.

May 20, 2014 - The Financial Industry Regulatory Authority, Wall Street's self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers, Chief Executive Officer Rick Ketchum said in a speech.

June 30, 2014 - Regulation will be the key driver in the next phase of the rapidly evolving hedge fund industry, according to Part II of the Citi (NYSE:C) Investor Services' 5th Annual Industry Evolution survey.

June 6, 2014 - The European Banking Authority (EBA) published today final draft Regulatory Technical Standards (RTS) on the methodology for identifying Global Systemically Important Institutions (G-SIIs), final draft Implementing Technical Standards (ITS) on special disclosure rules applicable to G-SIIs, and final guidelines on special disclosure rules for large institutions.

May 1, 2014 - The Securities and Exchange Commission today announced an enforcement action against the New York Stock Exchange and two affiliated exchanges for their failure to comply with the responsibilities of self-regulatory organizations (SROs) to conduct their business operations in accordance with Commission-approved exchange rules and the federal securities laws.

June 25, 2014 - The Securities and Exchange Commission today adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The new rules will be key to finalizing the remaining proposals.

June 3, 2014 - Fenergo, a leading provider of Client Lifecycle Management solutions for investment banks and capital market firms, has today announced that BMO Capital Markets has selected its award-winning flagship solution for a regulatory and tax compliant client onboarding process.

April 22, 2014 - The Securities and Exchange Commission has been criticised by a US congressional watchdog over cybersecurity weaknesses, including the failure to authenticate users and encrypt sensitive data.

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