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SFTR Survey Findings Show Lack of Preparedness & Implementation Concerns Across the Industry

Findings from a SFTR survey conducted by Cappitech and analysed by Kaizen Reporting, in which securities financing market participants were asked to help establish the industry’s state of ...

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Intermoney And Cappitech Partner To Offer Regulatory Reporting Services In Spain

INTERMONEY CONSULTORÍA, a subsidiary of the CIMD Group, the leading independent brokerage, consulting, asset management, securitization and energy group in southern Europe, and CAPPITECH, a ...

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Best Execution, Costs and Fraud among risks for the Wealth Management industry

In June, the FCA published a ‘Dear CEO’ letter aimed at the Wealth Management and Stockbroking industry. The letter covered a number of risks affecting wealth management customers. Beyond just ...

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Discussing CASS, Market Surveillance and Section 166 Reviews

Earlier this month, Cappitech hosted its latest CFD Broker Compliance workshop. Widening out from recent focuses on transaction reporting and MiFID II, the breakfast event included presentations ...

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MAS Singapore Derivative Reporting Changes Coming this October

In the world of derivative reporting, many countries have used a staggered format to introduce the new regulation. Starting with the largest financial institutions such as banks, the transaction ...

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FIA Recommends End to ETD Transaction Level Reporting under EMIR

The FIA, one of the leading trade organizations for exchange traded derivatives (ETD) markets, has recently published their recommendations to regulators regarding reporting ETDs under EMIR ...

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IHS Markit to Integrate Cappitech Technology in SFTR Reporting Solution

Cappitech, a leading provider of regulatory reporting and intelligence solutions for the financial services industry and IHS Markit, a world leader in critical information, analytics and ...

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FCA Market Watch 59 addresses Reconciliation and MiFIR Errors

The FCA has recently issued their latest Market Watch Report (link). The newsletter is released periodically by the UK financial regulator and focuses on Market Conduct and Transaction Reporting ...

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Cappitech Wins “Best Regulatory Reporting Solution” In Regtech Insight Awards

Cappitech has been awarded “Best Regulatory Reporting Solution” in the RegTech Insight Awards. The awards identify and highlight leading providers of RegTech solutions, services and consultancies ...

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MiFID II Compliance and Transaction Reporting Reviews Featured in FCA 2019/20 Business Plan

The FCA has published their 2019/20 Business Plan. The document features the regulator’s focus of supervisory priorities for this year and next. Included are eight priorities across the seven ...

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