EBA publishes draft standards for systemically important institutions
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.
BMO Capital Markets deploys Fenergo tech for regulatory reporting
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.
Esma consults on MiFID reforms
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).
Finra Trade-Surveillance System Will Be Redesigned
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.
SEC fines Nyse and affiliates $4.5 million multiple violations
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.
GAO criticises SEC cybersecurity
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.
SEC to conduct market-wide cyber-security checks
April 16, 2014 - The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.
Sifma calls for US rulemakers to step up deployment of Legal Entity Identifiers
April 14, 2014 - US securities trade body Sifma has called for broader uptake of Legal Entity Identifiers by the country's regulators, amid fears that the US is being left behind as other nations push ahead with mandatory implementation of the uniform trade reporting standard.
