Monday, April 12, 2021

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Operations

Singapore’s Orchid Bond Structure to Test New CSD Distribution Model

Hamilton Joel -
Asian fixed income marketplace Singapore Exchange (SGX) and Euroclear Bank (Euroclear), the Brussels-based international central securities depository (ICSD), have confirmed the launch of the...

Deutsche Börse Introduces buy-in Facility in Accordance with CSDR

Compliance Virginia Reagan -

Gartner Identifies Top Emerging Technologies for Finance Organizations

FinTech Scott Porter -

Aite Matrix for Multi-Asset Class TCA Providers: Diamonds in the Rough

Operations Hamilton Joel -

DTCC Outlines 2-Year Roadmap to T+1 Settlement

Operations Scott Porter -

OPERATIONS

COMPLIANCE

Compliance

Canadian Securities Regulators Outline Framework for Crypto Asset Platforms

Scott Porter -
The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) today published a notice outlining securities law requirements that apply...
Compliance

Deutsche Börse Introduces buy-in Facility in Accordance with CSDR

Virginia Reagan -
In February 2022, harmonised standards to increase settlement discipline for securities transactions will come into force in the European Union as part of the...

IOSCO Urges Globally Consistent, Comparable and Reliable Sustainability Disclosure Standards

Compliance Virginia Reagan -
The Board of IOSCO, the forum for global securities regulators, met today and discussed the progress made over the past year by its Sustainable...

Institutional Investors Ask Asset Managers for More Transparent ESG Reporting

Compliance Hamilton Joel -
Carbon footprint and exposure to climate-related risk are among the areas under scrutiny During the past five years, there has been a flood of available...

Digital Markets: Closing the Regulatory Gap on All Fronts?

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

MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

Analysis Virginia Reagan -
The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance. By Stuart Davis The EU Commission has published...

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

Compliance Scott Porter -
The Securities and Exchange Commission today confirmed settled charges against Morgan Stanley for violations of Regulation SHO, the regulatory framework governing short sales. According to...

European ESG Disclosure Requirements for Asset Managers

Compliance Guest Post -
by Kirsten Lapham, Michael Singh, Amar Unadkat, John Verwey A new European regime on sustainability-related disclosures in the financial sector will come into force from...

CFTC Considers New Approach to Regulation of Electronic Trading

Analysis Guest Post -
by Donna Parisi, Geoffrey B. Goldman, Azam Aziz, Jennifer Oosterbaan Introduction In the wake of considerable market criticism of prior proposals, the CFTC has proposed a...

Canadian Securities Regulators Offer Liquidity Risk Guidance for Investment Funds

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

NEWS AND VIEWS

Modernizing DTCC’s Fixed Income and Clearing Corporation
DTCC Connection | Mar 30, 2021

Alternatives now common – but still causing headaches
Post Trade 360 | Mar 26, 2021

The post-trade automation myth-buster
Global Custodian | Mar 26, 2021

Preventing Pesky US Treasury Settlement Fails
FinOps Report | Mar 15, 2021

SFDR: uncertainty lingers as deadline looms
Securities Finance Times | Mar 3, 2021

Digital Operational Resilience and the Financial Sector
DTCC Connection | Mar 1, 2021

Cum-ex tax loophole isn’t closed, warns German tax expert
Securities Finance Times | Mar 1, 2021

Industry stays on barricade against
buy-ins
Post Trade 360 | Feb 24, 2021

Tony Freeman: T+0 settlement is a ‘non-starter’
Asset Servicing Times | Feb 24, 2021

Citadel and Robinhood call for T+1 settlement cycle
Securities Finance Times | Feb 23, 2021

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RESEARCH

SEMINARS

FINTECH

US Treasury Investors Mixed About Proposed SEC Rules Aimed at Electronic Venues

Virginia Reagan -
Investors skeptical about proposed SEC rules covering electronic trading venues for U.S. Treasuries and U.S. agency securities should keep an open mind toward a...

Gartner Identifies Top Emerging Technologies for Finance Organizations

Scott Porter -
Cloud ERP, Advanced Data Analytics and Data Storage Are the Most Likely Emerging Technology Investments for Corporate Finance Through 2024 A study of 167 finance...

BNY Mellon Building Multi-Asset Digital Custody and Administration Platform

Virginia Reagan -
BNY Mellon has confirmed the formation of a new enterprise Digital Assets unit that it says will accelerate the development of solutions and capabilities...

Front-to-Back-Office Systems and Custody Partnerships

Hamilton Joel -
Aite Group has identified two approaches to front-office systems: the data exchange approach and the full-service model. Providers of both technology and services have looked...

Leaders Release Unprecedented Map of Blockchain Standards

Hamilton Joel -
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, and nearly...
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CONFERENCES

PUBLICATIONS

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SECURITIES FINANCE

ISLA Addresses Securities Lending Digitization

Hamilton Joel -

Innovation in Collateral Management: A Forward-Looking Perspective

Securities Finance Virginia Reagan -
The latest Aite Group report finds that firms have taken a transformational approach to developing innovations in collateral management.The 2008 financial crisis and the...

Survey: ESG Investing and Securities Lending Can Coexist

Securities Finance Scott Porter -
A new survey of leading institutional investors released today by The Risk Management Association (RMA) revealed that 95% of respondents believe that securities lending...

ISDA Proposes Greater Collaboration Between Derivatives and Securities Finance Markets

Securities Finance Scott Porter -
ISDA has today published a new whitepaper that identifies opportunities for greater collaboration between derivatives and securities financing transaction (SFT) markets, and sets out...

RISK

Institutional Investors Ask Asset Managers for More Transparent ESG Reporting

Hamilton Joel -

CCP Margins and Procyclicality in Times of Crisis

Operations Hamilton Joel -
The European Securities and Markets Authority, the EU’s securities markets regulator, is organising a workshop on CCP margins and procyclicality in times of crisis which will...

DTCC Identifies Key Priorities for Managing Risk in Post-Pandemic Environment

Risk Hamilton Joel -
New white paper highlights the need for FMIs to focus on risks created or exacerbated by the impact of the pandemic The Depository Trust &...

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

Operations Scott Porter -
Seven central banks and the BIS release a report assessing the feasibility of publicly available CBDCs in helping central banks deliver their public policy...

DATA

DTCC Pushes for Data Harmonization in Derivatives Trade Reporting

Scott Porter -

Derivatives market calls for change to market data fees

Data Scott Porter -
Market data fees have increased by an average of between 50 and 100% over the past five years and almost half of sell-side organisations...

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

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

To Find Best Execution, Investors Seek More and Better Data

Data Virginia Reagan -
Buy Side Plans to Request “Look-Through” Data Beyond Scope of New Broker Reporting Rules Equity brokers who scrambled to meet new requirements on trade data...
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LATEST ARTICLES

Operations

BBH Supports First US Conversion of Mutual Funds to ETFs

Hamilton Joel -
Earlier this week, Brown Brothers Harriman confirmed it was converting two open-end mutual funds to ETFs on behalf of Guinness Atkinson Asset Management: Guinness...
Read more
Analysis

US Treasury Investors Mixed About Proposed SEC Rules Aimed at Electronic Venues

Virginia Reagan -
Investors skeptical about proposed SEC rules covering electronic trading venues for U.S. Treasuries and U.S. agency securities should keep an open mind toward a...
Read more
Compliance

Canadian Securities Regulators Outline Framework for Crypto Asset Platforms

Scott Porter -
The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) today published a notice outlining securities law requirements that apply...
Read more
Data

DTCC Pushes for Data Harmonization in Derivatives Trade Reporting

Scott Porter -
New perspectives paper recommends course correction to eliminate cross-jurisdictional differences in trade reporting standards to boost transparency and the monitoring of systemic risk. The Depository...
Read more
Operations

Singapore’s Orchid Bond Structure to Test New CSD Distribution Model

Hamilton Joel -
Asian fixed income marketplace Singapore Exchange (SGX) and Euroclear Bank (Euroclear), the Brussels-based international central securities depository (ICSD), have confirmed the launch of the...
Read more
Compliance

Deutsche Börse Introduces buy-in Facility in Accordance with CSDR

Virginia Reagan -
In February 2022, harmonised standards to increase settlement discipline for securities transactions will come into force in the European Union as part of the...
Read more
FinTech

Gartner Identifies Top Emerging Technologies for Finance Organizations

Scott Porter -
Cloud ERP, Advanced Data Analytics and Data Storage Are the Most Likely Emerging Technology Investments for Corporate Finance Through 2024 A study of 167 finance...
Read more
Operations

Aite Matrix for Multi-Asset Class TCA Providers: Diamonds in the Rough

Hamilton Joel -
A plethora of macro forces has pushed the adoption of transaction cost analysis, finds a new Aite Group report.Regulatory pressure, including the Markets in...
Read more
Operations

DTCC Outlines 2-Year Roadmap to T+1 Settlement

Scott Porter -
New white paper highlights the benefits of moving to a T+1 settlement cycle, and details plan to continue building industry support Paper also provides updates...
Read more
Compliance

IOSCO Urges Globally Consistent, Comparable and Reliable Sustainability Disclosure Standards

Virginia Reagan -
The Board of IOSCO, the forum for global securities regulators, met today and discussed the progress made over the past year by its Sustainable...
Read more
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