White Paper

Getting eComms Surveillance Right

Demand for electronic communications (eComms) surveillance has risen in response to regulatory requirements and compliance needs to pinpoint problems such as market abuse without wasting time and...
White Paper

Quantity vs. Quality: An Evolving Research Paradigm

A revolution is under way in how buy-side firms conceptualize value in the research they consume. However, sell-side houses may be behind the curve in recognizing this.
White Paper

Minimising Market Manipulation False Positives: The Trick is in the Data

The focus on market manipulation has probably never been higher. In the wake of the Financial Crisis of 2008, with its multiple market manipulation scandals, regulators have ratcheted up compliance...
White Paper

MiFID II: Navigating the Emerging Liquidity Landscape

The September 1 deadline for full implementation of the Systematic Internalisation (SI) regime marked the beginning of a whole new liquidity landscape, with firms on both sides of the equation...
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

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.

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