Securities Operations - SecuritiesOperations.com

ISDA and R3 have collaborated with Clifford Chance, Jones Day, Linklaters and McCann FitzGerald to publish four new whitepapers that analyze the legal issues...

Central Banks, BIS Publish First Central Bank Digital Currency Report Laying Out Key Requirements

Operations Scott Porter - October 12, 2020

DTCC Wades into Post-Trade Consulting Biz

Operations Scott Porter - October 7, 2020

DTCC’s ClaimConnect Aims to Automate and Simplify Corporate Actions Claim Processing

Operations Scott Porter - October 5, 2020

Time to Do the Foxtrot (Three Step): SEC Establishes Improved Process for Settlement of Digital Asset Securities

Analysis Guest Post - October 5, 2020

COMPLIANCE

Analysis

Digital Markets: Closing the Regulatory Gap on All Fronts?

Scott Porter - October 13, 2020

The European Commission is opening multiple fronts to adapt and increase regulatory oversight of digital players in the EU Internal Market. At...

Analysis

MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

Guest Post - October 9, 2020

The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance.

Morgan Stanley to Pay $5 Million for Violations in Prime Brokerage Swaps Business

Compliance Scott Porter - September 30, 2020

The Securities and Exchange Commission today confirmed settled charges against Morgan Stanley for violations of Regulation SHO, the regulatory framework governing short...

European ESG Disclosure Requirements for Asset Managers

Compliance Guest Post - September 23, 2020

by Kirsten Lapham, Michael Singh, Amar Unadkat, John Verwey A new European regime on sustainability-related disclosures in the financial...

CFTC Considers New Approach to Regulation of Electronic Trading

Analysis Guest Post - September 22, 2020

by Donna Parisi, Geoffrey B. Goldman, Azam Aziz, Jennifer Oosterbaan Introduction In the wake of considerable...

Canadian Securities Regulators Offer Liquidity Risk Guidance for Investment Funds

Compliance Scott Porter - September 18, 2020

The Canadian Securities Administrators (CSA) today published guidance intended to help investment fund managers develop and maintain effective liquidity risk management frameworks...

Boosting Blockchain: Germany to Introduce Electronic Securities

Compliance Guest Post - September 14, 2020

by Dr. Nick Wittek, Dr. Michael R. Fischer, Martin Schulte, Harriet Territt, Philippe Goutay, Stephen J. Obie, Mark W. Rasmussen

Consolidating Mutual Fund Regulators Would Save up to Half a Billion Dollars

Compliance Scott Porter - September 2, 2020

Independent report estimates that a consolidated self-regulator would result in $380M to $490M in savings The Investment Industry Regulatory...

ESMA Proposes to Further Postpone CSDR Settlement Discipline

Compliance Scott Porter - August 31, 2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published a final report on draft regulatory technical standards (RTS)...

CFTC Finalizes Cross-Border Swaps Rule

Analysis Guest Post - August 18, 2020

by Joseph Vebman, Mark D. Young, Jonathan Marcus, Daniel B. O'Connell, Skadden, Arps, Slate, Meagher & Flom LLP On July 23, 2020,...

NEWS AND VIEWS

Custody Re-imagined: The Outlook for Global Securities Services, 2030
Northern Trust | Oct 20, 2020

Why does the BoE think that post trade is in need of reform?
BobsGuide | Oct 14, 2020

CAT Compliance Ramps Up on Sell Side with Interfirm Linkages
Finextra | Oct 14, 2020

It’s All About Data
DTCC Connection | Oct 14, 2020

Tackling Vendor Risk in Today’s Operational Environment
Gresham | Oct 14, 2020

Sibos 2020: ‘In a world of CBDCs, I am not sure what Swift would do’
Finextra | Oct 13, 2020

Buyside starts reporting under SFTR
ICMA | Oct 13, 2020

Sibos panel: Appeal of CBDCs is programmable nature
BobsGuide | Oct 12, 2020

What FinReg has in Store for Q4 2020
BBH On The Regs | Oct 12, 2020

Deutsche Bank to create service for securities settlement delays
Securities Lending Times | Oct 12, 2020

Getting Data Management Right
DTCC Connection | Oct 8, 2020

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RESEARCH

FinTech

Gartner Identifies the Top Strategic Technology Trends for 2021

Scott Porter - October 19, 2020

Gartner has released its assessment of the top strategic technology trends that organizations need to explore in 2021. Analysts presented their findings...

Analysis

Digital Markets: Closing the Regulatory Gap on All Fronts?

Scott Porter - October 13, 2020

The European Commission is opening multiple fronts to adapt and increase regulatory oversight of digital players in the EU Internal Market. At...

SEMINARS

Operations

Webinar: The Macro-Economic Environment and Bilateral FX Post-Trade Processing

Scott Porter - August 13, 2020

Steve French, Head of Traiana Product, and Basu Choudhury, Head of Traiana Business Intelligence for Post-Trade & Optimization Services, discuss how recent market events, including increased volatility and active...

Data

XBRL Guides Regulators Building Financial Data Standards Programs

Scott Porter - July 28, 2020

XBRL confirmed this week the publication of the Taxonomy Development Handbook, a guide for regulators, industry experts, and businesses to building data...

Leaders Release Unprecedented Map of Blockchain Standards

FinTech Scott Porter - October 20, 2020

The Global Standards Mapping Initiative is the first comprehensive effort to survey blockchain standards, mapping data from over 30 technical standard-setting entities, 185 jurisdictions,...

Gartner Identifies the Top Strategic Technology Trends for 2021

FinTech Scott Porter - October 19, 2020

Gartner has released its assessment of the top strategic technology trends that organizations need to explore in 2021. Analysts presented their findings...

Digital Markets: Closing the Regulatory Gap on All Fronts?

Analysis Scott Porter - October 13, 2020

The European Commission is opening multiple fronts to adapt and increase regulatory oversight of digital players in the EU Internal Market. At...

RMA Calls for Enhanced Infrastructure to Deal with Digital Corporate Actions

FinTech Scott Porter - September 29, 2020

The Risk Management Association’s Financial Technology & Automation Committee has published a new thought leadership paper, “The New Normal | Digital Asset...

SWIFT Report: How Cyber Attackers ‘Cash Out’

FinTech Scott Porter - September 3, 2020

By illuminating final stage in money laundering process, BAE Systems report commissioned by SWIFT supports efforts by banks to prevent, detect and...

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CONFERENCES

Data

SEC Commissioner Lee and PwC Vice Chair Bricker to Keynote XBRL US Investor Forum 2020

Scott Porter - July 15, 2020

XBRL US has confirmed that the annual XBRL US Investor Forum 2020, Ready for Anything – Using Data in Perilous Times, will feature two...

Data

Addressing Emerging Operational Risk and Alleviating Data Blind Spots with AI Powered Risk Management | July 15

Scott Porter - June 23, 2020

Date: 15 July 2020 Time: 10:00am ET / 3:00pm London / 4:00pm CET The digitalisation of financial services is in full flight, as financial institutions strive...

PUBLICATIONS

Compliance

10 Best Books for FinOps Professionals

Scott Porter - June 10, 2020

Browsing Amazon for recent books on finance and capital markets, one finds dozens – maybe hundreds – of books on investing, trading, analysis and...

FinTech

Front-to-Back: Designing and Changing Trade Processing Infrastructure

Scott Porter - March 14, 2019

by Martin Walker In this book, banking and finance expert Martin Walker opens section one with the fundamentals; explaining how capital markets firms make money,...

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SECURITIES FINANCE

Securities Finance

Survey: ESG Investing and Securities Lending Can Coexist

Scott Porter - October 9, 2020

A new survey of leading institutional investors released today by The Risk Management Association (RMA) revealed that 95% of respondents believe that...

ISDA Proposes Greater Collaboration Between Derivatives and Securities Finance Markets

Securities Finance Scott Porter - October 5, 2020

ISDA has today published a new whitepaper that identifies opportunities for greater collaboration between derivatives and securities financing transaction (SFT) markets, and...

RMA Calls for Enhanced Infrastructure to Deal with Digital Corporate Actions

FinTech Scott Porter - September 29, 2020

The Risk Management Association’s Financial Technology & Automation Committee has published a new thought leadership paper, “The New Normal | Digital Asset...

Survey: Firms Unprepared to Comply with Uncleared Margin Rules Despite Deadline Extension

Securities Finance Scott Porter - September 15, 2020

Survey reveals that 81% of firms lag in preparations to comply State Street Corporation (NYSE:STT) today released survey results...

RISK

Operations

Central Banks, BIS Publish First Central Bank Digital Currency Report Laying Out Key Requirements

Scott Porter - October 12, 2020

Seven central banks and the BIS release a report assessing the feasibility of publicly available CBDCs in helping central banks deliver their...

ESMA To Recognize Three UK CCPs As of January 1

Operations Scott Porter - September 29, 2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, confirmed yesterday that the three central counterparties (CCPs) established in...

EC to Allow Market Participants 18 Months to Reduce UK CCP Exposure

Risk Scott Porter - September 22, 2020

The European Commission has today adopted a time-limited decision to give financial market participants 18 months to reduce their exposure to UK...

SWIFT Report: How Cyber Attackers ‘Cash Out’

FinTech Scott Porter - September 3, 2020

By illuminating final stage in money laundering process, BAE Systems report commissioned by SWIFT supports efforts by banks to prevent, detect and...

DATA

Data

DTCC Enhances Access to Critical Money Markets Data as Firms Navigate Heightened Volatility

Scott Porter - October 20, 2020

The Depository Trust & Clearing Corporation (DTCC) said today that its Money Market Kinetics service has been enhanced to deliver more frequent...

To Find Best Execution, Investors Seek More and Better Data

Data Scott Porter - October 12, 2020

Buy Side Plans to Request “Look-Through” Data Beyond Scope of New Broker Reporting Rules Equity brokers who scrambled...

Blockchain Utility Aims to Cut Asset Management Data and Analytics Costs by up to 90%

Data Scott Porter - October 6, 2020

• TURN to cut costs by 80-90% per annum, a much-needed reduction as Covid-19 continues to disrupt global markets and create widespread...

ESMA Consults on MiFIR Reference Data and Transaction Reporting

Data Scott Porter - September 25, 2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has launched a Consultation Paper (CP) reviewing the reference data and transaction...

featured

Report Addresses Central Counterparty Default Management

Scott Porter - June 25, 2020

featured

German Institutional Investors Have Become More Sustainable

Scott Porter - June 25, 2020

Compliance

10 Best Books for FinOps Professionals

Scott Porter - June 10, 2020

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LATEST ARTICLES

Operations

ISDA Launches New Legal Papers on Smart Contracts and DLT

Scott Porter - October 21, 2020

ISDA and R3 have collaborated with Clifford Chance, Jones Day, Linklaters and McCann FitzGerald to publish four new whitepapers that analyze the legal issues...

Data

DTCC Enhances Access to Critical Money Markets Data as Firms Navigate Heightened Volatility

Scott Porter - October 20, 2020

The Depository Trust & Clearing Corporation (DTCC) said today that its Money Market Kinetics service has been enhanced to deliver more frequent...

FinTech

Leaders Release Unprecedented Map of Blockchain Standards

Scott Porter - October 20, 2020

The Global Standards Mapping Initiative is the first comprehensive effort to survey blockchain standards, mapping data from over 30 technical standard-setting entities, 185 jurisdictions,...

FinTech

Gartner Identifies the Top Strategic Technology Trends for 2021

Scott Porter - October 19, 2020

Gartner has released its assessment of the top strategic technology trends that organizations need to explore in 2021. Analysts presented their findings...

Analysis

Digital Markets: Closing the Regulatory Gap on All Fronts?

Scott Porter - October 13, 2020

The European Commission is opening multiple fronts to adapt and increase regulatory oversight of digital players in the EU Internal Market. At...

Data

To Find Best Execution, Investors Seek More and Better Data

Scott Porter - October 12, 2020

Buy Side Plans to Request “Look-Through” Data Beyond Scope of New Broker Reporting Rules Equity brokers who scrambled...

Operations

Central Banks, BIS Publish First Central Bank Digital Currency Report Laying Out Key Requirements

Scott Porter - October 12, 2020

Seven central banks and the BIS release a report assessing the feasibility of publicly available CBDCs in helping central banks deliver their...

Analysis

MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

Guest Post - October 9, 2020

The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance.

Securities Finance

Survey: ESG Investing and Securities Lending Can Coexist

Scott Porter - October 9, 2020

A new survey of leading institutional investors released today by The Risk Management Association (RMA) revealed that 95% of respondents believe that...

Operations

DTCC Wades into Post-Trade Consulting Biz

Scott Porter - October 7, 2020

The Depository Trust & Clearing Corporation (DTCC) confirmed this morning that it has launched DTCC Consulting Services, an advisory service to provide...

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