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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.

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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).

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Finra Trade-Surveillance System Will Be Redesigned, Ketchum Says

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.

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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.

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GAO criticizes 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.

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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.

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