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Silicon Roundabout
Four examples of how technology vendors are bringing innovative solutions for financial services firms wrestling with cost pressures, legacy systems and new regulatory requirements.
CONTINUE READINGSFC Issues Guidance on IM Messaging Controls
The Hong Kong Securities and Futures Commission has set out the key controls needed when securities and futures firms receive client orders through instant messaging applications such as WhatsApp and WeChat.
CONTINUE READINGSEG Funds
On Jan. 22 NFA updated its regulations regarding customer protection requirements for futures commission merchants, introducing brokers, commodity pool operators and commodity trading advisors.
CONTINUE READINGScouts Meet STEM at the Chicago Trading Tech 300 Merit Badge Program
As exchange floors have shut down and markets have become more electronic, avenues of entry to that world have changed, and opportunities to find jobs through relationships and networking have diminished.
CONTINUE READINGRetail Forex Rules
The Commodity Futures Trading Commission has approved amended rules and a new interpretive notice filed by the National Futures Association intended to enhance protections for customers in the retail foreign exchange markets.
CONTINUE READINGResources for Regulators
On Sept. 17, the International Organization of Securities Commissions published the final report of a task force it set up in 2013 to address the challenges of cross-border regulation.
CONTINUE READINGReporting Violations
On April 22, the U.K.'s Financial Conduct Authority announced that it fined Merrill Lynch International £13.2 million ($20.5 million) for incorrectly reporting more than 35 million transactions and failing to report another 121,387 transactions between November 2007 and November 2014.
CONTINUE READINGRegulatory Reporting
On Sept. 28, the Commodity Futures Trading Commission provided futures and swaps traders with additional time to comply with new reporting requirements established by the CFTC’s Ownership and Control Reporting final rule.
CONTINUE READINGRegulatory Dialogue
In July FIA Asia submitted comments to the Australian Securities and Investments Commission on proposed rules for mandatory clearing for OTC interest rate swaps.
CONTINUE READINGRegulating Swaps
The Hong Kong Monetary Authority and the Securities and Futures Commission jointly issued a consultation on introducing the first phase of mandatory clearing and the second phase of mandatory reporting.
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