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Skyscrapers
Fixed Income & Data Services/Regulation Compliance

Regulation Compliance

The evolving regulatory environment challenges firms to expand data requirements and enhance risk management processes. We offer a range of regulatory-related services designed to help you with your compliance obligations and help improve operational efficiency.

Complexity Indicator: Hong Kong

The Hong Kong Securities and Futures Commission (SFC) issued the Guidelines on Online Distribution and Advisory Platforms, which set out principles and requirements applicable to online distribution and advisory platforms. One of the requirements requires platform operators to determine whether a product is non-complex or complex. Certain measures are extended to offline sale of complex products. ICE has developed a complexity indicator tailored to these SFC guidelines.

The ICE Complexity Indicator: Hong Kong equips online distribution and advisory platforms with essential information to assess whether a security aligns with the SFC’s definition of a complex product. It also offers the underlying data needed to understand the indicator. The indicator is built using our high-quality reference data, encompassing approximately 79 million financial instruments (both active and inactive i.e. historical) across more than 210 markets.

FATCA

SEC Report Modernization

Solvency II

MiFID II

Modern

Regulatory insights

We understand you need to know not only what regulations are being implemented, but why and how they will impact the industry. Our education-focused portal looks at even the most complex regulations facing the financial services industry. Explore posts, visuals, webinars and videos about key regulations, and gain information and perspective to help you make more educated business decisions.

Learn more about our Regulatory Solutions

Contact us for any questions about about regulation compliance.