News/Blog

UBS’s £28m FCA fine for reporting failures is a wake-up call

The eye-watering penalty, incurred through failings with 136 million transaction reports over a 10-year period, are a sobering call to investment banks to bring data management and reporting under tighter control The news that the Financial Conduct Authority (FCA) has fined UBS AG an eye-watering £27.6m for transaction report failings over a 10-year-period will be...
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Jefferies selects Inforalgo’s Regulatory Reporting Hub for self-service control and automation of FINRA TRACE reporting

Inforalgo’s Regulatory Reporting Hub, a cloud-based data automation platform, will give compliance teams smart, low-touch control over reporting under FINRA Rule 6730 – Transaction Reporting Inforalgo, the Capital Markets data automation specialist, has today announced that Jefferies LLC will use its cloud-based Regulatory Reporting Hub and intelligent data automation platform for FINRA TRACE reporting. The...
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CAT NMS Selects FINRA as Consolidated Audit Trail Plan Processor

CAT NMS, LLC (CAT NMS) today (27/02/19) announced that the Financial Industry Regulatory Authority, Inc. (FINRA) has been selected as Plan Processor for the Consolidated Audit Trail (CAT), following a vote by the Operating Committee (FINRA recused itself from the voting process). As Plan Processor, FINRA is responsible for all aspects of the continued build...
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ATS Reporting of Transactions in U.S. Treasury Securities

FINRA News – 18-34 SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities Summary Effective April 1, 2019, large alternative trading systems (ATSs) will be required to identify non-FINRA member subscriber counterparties in TRACE reports for transactions in U.S. Treasury securities using FINRA-assigned market...
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Former global leader of financial services at PwC, Nigel Vooght, joins Inforalgo as non-executive chairman

The high-profile appointment will further fuel Inforalgo’s next phase of growth, as the company takes its intelligent cloud-based data automation platform and Regulatory Reporting solutions to the global market. Inforalgo, the Capital Markets data automation specialist, has announced the appointment of Nigel Vooght, the former Global Leader of Financial Services at PwC, as non-executive chairman....
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Firms seek reporting retool strategies amid fears legacy systems may not support regulatory change strain-study

Large financial institutions are seeking strategies to retool regulatory reporting systems to enhance resilience and interoperability and reduce costs, amid concerns legacy systems will not stand the test of time. London-based think-tank JWG, which interviewed senior managers at 12 financial services firms for its recent report, Regulatory Reporting: Time for a Rethink?, also found firms to...
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Astuta acquires leading UK public sector finance software specialist Trojan

UK software group Astuta has announced the acquisition of Trojan Consultants, a UK leader in public sector finance systems. The move heralds an exciting new chapter in both businesses’ growth. Trojan has developed, supplied and supported specialist finance systems for Social Services, National Health Service and Local Government organisations the length and breadth of the UK for...
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Webinar: Time to rethink regulatory reporting?

Join JWG, Standard Chartered Bank, Deutsche Bank and Inforalgo at 2pm on January 15th to discuss findings of new Regulatory Reporting market report. New research by independent financial regulatory think-tank JWG, in partnership with Inforalgo, the Capital Markets data automation specialist, shows that after years of ‘making do’, financial institutions are now proactively ramping up...
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LiquidityEdge uses Inforalgo for market transparency obligations reporting

London, 12 September 2018 – Inforalgo, the leading provider of straight-through-processing and trading system integration to the Capital Markets industry, today announced the successful implementation of their Regulatory Reporting Hub (RRH) for US Treasury reporting at LiquidityEdge. Established as an alternative trading venue for US Treasuries, Liquidity Edge provides a bespoke trading ecosystem that connects...
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The eye-watering penalty, incurred through failings with 136 million transaction reports over a 10-year period, are a sobering call to investment banks to bring data management and reporting under tighter control The news that the Financial Conduct Authority (FCA) has fined UBS AG an eye-watering £27.6m for transaction report failings over a 10-year-period will be...
Continue Reading
Inforalgo’s Regulatory Reporting Hub, a cloud-based data automation platform, will give compliance teams smart, low-touch control over reporting under FINRA Rule 6730 – Transaction Reporting Inforalgo, the Capital Markets data automation specialist, has today announced that Jefferies LLC will use its cloud-based Regulatory Reporting Hub and intelligent data automation platform for FINRA TRACE reporting. The...
Continue Reading
CAT NMS, LLC (CAT NMS) today (27/02/19) announced that the Financial Industry Regulatory Authority, Inc. (FINRA) has been selected as Plan Processor for the Consolidated Audit Trail (CAT), following a vote by the Operating Committee (FINRA recused itself from the voting process). As Plan Processor, FINRA is responsible for all aspects of the continued build...
Continue Reading
FINRA News – 18-34 SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities Summary Effective April 1, 2019, large alternative trading systems (ATSs) will be required to identify non-FINRA member subscriber counterparties in TRACE reports for transactions in U.S. Treasury securities using FINRA-assigned market...
Continue Reading
The high-profile appointment will further fuel Inforalgo’s next phase of growth, as the company takes its intelligent cloud-based data automation platform and Regulatory Reporting solutions to the global market. Inforalgo, the Capital Markets data automation specialist, has announced the appointment of Nigel Vooght, the former Global Leader of Financial Services at PwC, as non-executive chairman....
Continue Reading
Large financial institutions are seeking strategies to retool regulatory reporting systems to enhance resilience and interoperability and reduce costs, amid concerns legacy systems will not stand the test of time. London-based think-tank JWG, which interviewed senior managers at 12 financial services firms for its recent report, Regulatory Reporting: Time for a Rethink?, also found firms to...
Continue Reading
UK software group Astuta has announced the acquisition of Trojan Consultants, a UK leader in public sector finance systems. The move heralds an exciting new chapter in both businesses’ growth. Trojan has developed, supplied and supported specialist finance systems for Social Services, National Health Service and Local Government organisations the length and breadth of the UK for...
Continue Reading
Join JWG, Standard Chartered Bank, Deutsche Bank and Inforalgo at 2pm on January 15th to discuss findings of new Regulatory Reporting market report. New research by independent financial regulatory think-tank JWG, in partnership with Inforalgo, the Capital Markets data automation specialist, shows that after years of ‘making do’, financial institutions are now proactively ramping up...
Continue Reading
London, 12 September 2018 – Inforalgo, the leading provider of straight-through-processing and trading system integration to the Capital Markets industry, today announced the successful implementation of their Regulatory Reporting Hub (RRH) for US Treasury reporting at LiquidityEdge. Established as an alternative trading venue for US Treasuries, Liquidity Edge provides a bespoke trading ecosystem that connects...
Continue Reading