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Duco rolls out no-code solution for CFTC Rewrite


29 September 2022 UK
Reporter: Carmella Haswell

The software-as-a-service, no-code platform allows firms to adapt to new requirements brought about by changes to derivatives reporting regulations through the CFTC Rewrite
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UMR Phase 6 implemented today


01 September 2022 Europe
Reporter: Lucy Carter

The last element of a gradual rollout, UMR Phase 6 extends compliance requirements to firms with total notional exposure of €8 billion
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ION Markets launches new solution for compliance


19 July 2022 US
Reporter: Jenna Lomax

ION’s Compliance SaaS solution enables real-time oversight of pre-and post-trading, and offers full coverage of asset types, with an automated compliance checking process and investment transparency
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ESMA issues third statement on LEI requirements of SFTR


14 July 2022 EU
Reporter: Carmella Haswell

The European Securities and Markets Authority recognises a reporting implementation issue with Securities Financing Transactions, finding a significant number of issuers without an LEI
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ESMA consults on cash penalty procedures under CSDR


12 July 2022 EU
Reporter: SFT

The EU securities market regulator has launched a consultation to assess industry reaction to proposed changes to cash penalty procedures under the Central Securities Depositories Regulation