The Brokers’ Journey to New Reporting Post Market Participants’ Departures For brokers, the next four months may be paved with obstacles while trying to find a new reporting home
ASIC Extends Reporting Deadline for Unlisted Entities The deadline has been extended for balance dates from 31 December 2019 to 31 March 2020.
FCA Relaxes Financial Reporting Deadline for Listed Companies Companies now have 6 months to publish audited annual reports from the end of the financial year.
Can ODPs Bring Transparency to South Africa’s FX & Derivatives Industry? The new regulations concerning ODPs are meant to ensure proper conduct by ODPs & protect investors
Luxembourg’s CSSF Relaxes Reporting Obligations Amid COVID-19 The CSSF won’t apply a strict enforcement policy for delays in reporting, as long as they are justified.
ESMA Lowers Reporting Threshold for Net Short Positions The regulator has implemented the measures as a precautionary action regarding coronavirus.
ASIC Reminds Retail OTC Firms of Reporting Obligations Amid COVID-19 Firms need to notify ASIC if they have any material adverse changes to their financial position.
TRAction Launches Best Execution Monitor for Buy-Side Firms The solution aims to help investment managers meet their MiFID II reporting obligations.
Who Needs to Meet European Trade Publication Requirements? There's a lot of confusion between trade and transaction reporting - what's the difference?
CFTC Slaps Six Institutions with Fines for Reporting Failures Altogether, the fines equal more than $6 million.
FCA Signals More Vigilance Over Transaction Reporting The UK regulator shared key data during a conference dedicated to transaction reporting in London
Catena Technologies to Deploy SFTR Reporting Platform to REGIS-TR The early testing has been completed as the companies are preparing to launch the new offering
Cappitech Launches RTS 28 Market Intelligence Execution Tool The solution allows firms to monitor their execution quality and identify weaknesses.
Catena Expands TRACE Reporting Solution to NA and Europe Catena has integrated its solution with CME Group’s trade repositories in North America and Europe.
ASIC Announces Major Changes to Reporting Requirements Full-year and half-year reports at December 31, 2018, must comply with these new accounting standards.
Broadridge Announces Broker-Dealer Solution for SEC Rule 30e-3 The website will launch on January 1, 2019, and will help broker-dealers manage shareholder preferences.
Cappitech and Trax Join Forces to Provide MiFID II Reporting Services The two firms have integrated their separate services to provide tailor-made solutions.
Thomson Reuters Launches Reporting Solution for Investment Firms RTS 27 Now will help systematic internalisers complete their first regulatory report.
Cappitech Expands to Australia with CME Group Partnership The regulatory reporting firm has integrated with the CME Group’s trade repository
Tools for Brokers Adds New Reporting Features to Its Brokers Bi Solution The integrated capital adequacy and end of day reports are available for brokers already using the BBI product now.