White Paper

Systematic Internalisation Under MiFID II: What's Needed Now

From September 1, 2018, firms within the scope of MiFID II that breach volume thresholds set by ESMA on August 1, 2018 for internal matching of client orders will be required to register as...
White Paper

Post-trade ETD - where all the sticking plaster got used!

The fund management industry’s shift to passive funds and embrace of smart-beta funds over the past decade or so has shaved margins to the extreme. In this environment, operational efficiency becomes...
White Paper

MiFID II: What's Next?

With regulators indicating that they will enforce MiFID II in the second half of this year, how robust is your compliance solution? How ready is it to take on the oncoming requirements of the...
White Paper

MiFID II: Industrialising the Response Using UL BRIDGE

Many firms within the scope of Markets in Financial Instruments Directive II (MiFID II) struggled to meet the regulation’s deadline of January 3, 2018 and are now waking up to the fact that many of...
White Paper

Trading Infrastructure Testing: Taking an Enterprise Approach

Over time, trading operations have become complex networks of different applications using diverse technologies tied together into an overall trading infrastructure. Testing has evolved in a similar...
White Paper

Feeding the Drive Toward Automation in Trading and Investment Operations

As financial institutions continue to move toward automation, the need to feed systems with accurate and timely data is critical. Consistency of data throughout the transaction workflow is also...
White Paper

Regulatory Compliance: The Use of Twitter in Financial Services

Twitter has emerged as a source of market-moving information. But it’s difficult to get Twitter delivered to your trading desk, for a variety of reasons, ranging from concerns about market abuse, to...
White Paper

Data Governance and Quality Control for Emerging Regulatory Imperatives

Impending regulations, following recent price manipulation investigations, will require trading firms to have new data governance and quality controls in place.
White Paper

MiFID II: Setting a Mobile Policy for Compliance and Trading Business

Markets in Financial Instruments Directive II (MiFID II) requires firms to record all trading-related electronic and voice communication. This includes recording communications made using mobile...
White Paper

MiFID II: Time for Action

As the January 3, 2018 compliance deadline for Markets in Financial Instruments Directive II (MiFID II) approaches, trading businesses within the scope of the regulation must address outstanding...

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