SURVEIL-X solution aims to provide single view of market manipulation and abuse through multi-source data capture and analytics.
Regulatory pressures on asset managers to oversee and govern their outsourcing service providers has become a challenge for the buy-side.
FINRA has said JP Morgan filed allegations of misconduct of its employees up to two years later than required 89 times.
The CFTC said that Tullett Prebon’s voice brokers made false or misleading statements to clients related to certain trades, bids and offers in US dollar interest rate swaps.
TABB Group report finds large US equity asset managers are increasingly turning to research unbundling for cost savings and focus on best execution.
Stress simulation framework finds “pockets of vulnerabilities” in UCITS bond funds in pure redemption shock scenarios.
Counterparties within scope for Phase 4 of initial margin compliance have been onboarded to the AcadiaSoft platform.
Failure to update legacy contracts ahead of Libor’s termination could have serious operational and investment risks for asset managers.
RegTek.Solutions will be integrated with the Bloomberg regulatory reporting hub, as well as its data and trading systems.
Investment firms affected by major FX rigging scandal at Barclays, Citi, RBS, JP Morgan and UBS are seeking compensation in the UK.