ESMA makes further updates to MiFID II and MiFIR Q&A
The European Securities and Markets Authority (ESMA) has updated its Q&A page for the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/MiFIR).
Citigroup fined £43.9m for regulatory reporting failures
The UK’s Prudential Regulator Authority (PRA) has fined Citigroup £43.9m for failings in relation to their internal controls and governance arrangements.
Why Theta Lake believes AI is critical for the evolution of communication monitoring
Building a communication monitoring platform which leveraged AI and machine learning from the ground up and covered the full spectrum of voice, video, chat, and text based communication was essential in the creation of Theta Lake
US regulator fines BGC Financial $3m for failing to comply with supervision, reporting and...
An American futures industry voice broker and registered futures commission merchant has found itself in the U.S. Commodity Futures Trading Commission’s (CFTC) crosshairs.
DekaBank picks Clearstream to aid post-trading
DekaBank has picked Clearstream to handle its post-trading services such as settlement, custody and asset servicing for its securities activity in Europe.
Theta Lake unveils new video explaining its partnership with Webex Teams
RegTech startup Theta Lake has created a video explaining how its collaboration with Webex Teams, the teamwork solution provider, works.
ABN AMRO picks UnaVista to meet SFTR needs
Dutch bank ABN AMRO has chosen UnaVista to support its SFTR trade reporting and MiFID II transaction reporting processes.
Monetary Authority of Singapore managing director says there’s still more to do to ensure...
Since the financial crisis, the Monetary Authority of Singapore (MAS) has been hard at work rebuilding trust in the country’s financial services. However, the managing director believes more must be done.
NLP developer Eigen Technologies nets $37m Series B
Eigen Technologies, a developer of natural language processing technology, has collected $37m in its Series B.
AFME calls for teamwork on crypto-asset regulation
The Association for Financial Markets in Europe (AFME) has called for collaboration on the regulation of crypto-assets in Europe.