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Wolters Kluwer Financial Services Releases 2015 Regulatory Trend Outlook for U.S. Securities Firms

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.

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SEC bids to boost transparency with new swap reporting rules

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.

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Meeting the demanding new requirements imposed upon firms by SEC Regulation SCI

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.

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Esma puiblishes MiFID II rules

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).

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Financial Institutions Set to Use Regulation as Platform for IT Innovation

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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Banks must modernise IT systems for new regulatory regime - Deutsche Bundesbank exec

December 9, 2014 - A senior executive at Deutsche Bundesbank has warned that banks will have to spend considerable sums on upgrading their IT systems if they are to cope with insatiable regulatory appetite for new data reporting standards.

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