Securities Operations - SecuritiesOperations.com

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,...

SEC, FINRA Provide Guidance Regarding Cybersecurity, AI and Digital Assets

Compliance Guest Post - August 18, 2020

by Valerie Dahiya and Thomas Ahmadifar, Perkins Coie LLP The U.S. Securities and Exchange Commission (SEC) and the Financial...

AML, KYC and Sanctions Fines for Global Financial Institutions Reach $5.6 Billion Mid-Year

Compliance Scott Porter - August 17, 2020

Repercussions from high profile scandals and compliance failings hit US, Israeli, Nordic and German banks hardest Digital transformation specialist...

ISS Introduces Compliance Solution for Custodians Ahead of SRD II Deadline

Compliance Scott Porter - August 10, 2020

Governance specialist Institutional Shareholder Services Inc. (ISS), confirmed that it has launched a Global Proxy Distribution (GPD) Shareholder Identification Service, which it...

NEWS AND VIEWS

The Economic Imperative of Post Trade Resilience in Capital Markets – Why & How
Finextra | Sept. 24, 2020

Reconciliation software demand shakes up fintech partnership ecosystems
BobsGuide | Sept 24, 2020

“2022 will not be the end of CSDR efforts”
Post Trade 360 | Sept 23, 2020

SFTR: What Buy-Side Firms Need to Know – Now
DTCC Connection | Sept 22, 2020

Implications of ESG for Securities Services
Global Custodian | Sept 22, 2020

Corporate Actions: Operating within the new abnormal
Asset Servicing Times | Sept 21, 2020

Adapting your Data Strategy and Best Data Management Practices for Today’s New Normal
A-Team Insights | Sept 21, 2020

A New Pact Will Help Derivatives Markets
Wall Street Journal | Sept 21, 2020

Making Good Use of Extra Time
DTCC Connection | Sept 18, 2020

Uncleared Margin Rules: Don’t Let the Reprieve Go to Waste
GARP | September 17, 2020

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RESEARCH

Operations

OCC Issues Paper on Central Clearinghouse Resiliency and Stability

Scott Porter - September 23, 2020

In the midst of record cleared contract volume, OCC, the world's largest equity derivatives clearing organization, has released a paper titled, Optimizing Incentives, Resilience...

Securities Finance

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

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...

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...

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...

Developments on Digital Assets and Blockchain

FinTech Guest Post - August 20, 2020

by Timothy Spangler, Andrew J. Schaffer, Dechert LLP Blockchain technology continues to mature and gain acceptance for a wide...

Archax Approved as First Digital Securities Exchange and Custodian in UK

FinTech Scott Porter - August 19, 2020

Includes MTF, 5MLD, custody and brokerage permissions Archax confirmed today that it has become the first-ever FCA-regulated digital...

SEC, FINRA Provide Guidance Regarding Cybersecurity, AI and Digital Assets

Compliance Guest Post - August 18, 2020

by Valerie Dahiya and Thomas Ahmadifar, Perkins Coie LLP The U.S. Securities and Exchange Commission (SEC) and the Financial...

Reimagining Reconciliation in Capital Markets: Improving Automation with Innovative Technology

FinTech Guest Post - August 14, 2020

New technology such as cloud, artificial intelligence (AI), and machine learning (ML) are offering new opportunities to improve automation and reduce...

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

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...

FSB extends implementation timelines for securities financing transactions

Securities Finance Scott Porter - September 8, 2020

The Financial Stability Board (FSB) has confirmed extensions to the implementation timelines for minimum haircut standards for non-centrally cleared securities financing transactions (SFTs), to...

ECB Surveys Securities Financing Terms

Securities Finance Scott Porter - August 21, 2020

Most widespread tightening of credit terms over three-month review period since SESFOD launched in 2013Less-favourable price terms for non-financial corporations and less-favourable...

Regulators determined to keep SOFR transition on track

Securities Finance Guest Post - August 11, 2020

The disruption to capital markets caused by the COVID-19 pandemic has not shifted the overall timeline of regulators and industry bodies for...

RISK

Risk

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

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...

The Current State of XVA Usage in Latin America

Risk Scott Porter - August 14, 2020

XVAs are increasingly becoming more engrained in derivatives practices across the globe. While the U.S. and Europe are quite advanced in terms...

Reacting to a Cyber-Attack on a Securities Services Participant

Operations Scott Porter - August 7, 2020

Cyber-attacks continue to increase in frequency, sophistication and impact. These attacks have the potential to disrupt critical financial services and could undermine...

DATA

Data

Citi Upgrades Data Service Platform for Securities Services Clients

Scott Porter - September 17, 2020

Citi confirmed today that it has enhanced its securities services data services platform Citi VelocitySM Clarity by introducing an Integrated Reporting tool, expanding...

OFR Begins Publishing Repo Data

Data Scott Porter - September 11, 2020

The U.S. Office of Financial Research (OFR) has released its new U.S. Repo Markets Data Release, a prototype publication of daily data...

BIS Working Paper: Data vs Collateral

Data Guest Post - September 2, 2020

Summary Focus Collateral is used in debt contracts to mitigate the difficulties ("agency problems")...

NRI introduces NRI/IU Crypto-Asset Reference Price

Data Scott Porter - August 10, 2020

Nomura Research Institute, Ltd. (NRI) has developed and provided price estimation for crypto-assets, called the “NRI/IU Crypto-Asset Reference Price, in coordination with...

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

ISITC Honors Karla McKenna for Work on Operations Standards

Scott Porter - September 24, 2020

Former ISITC Board Member and GLEIF Head of Standards recognized for her contributions to the industry. Operations trade group...

Operations

DTCC Appoints Lisa Hershey as Chief Compliance Officer

Scott Porter - September 23, 2020

The Depository Trust & Clearing Corporation (DTCC) today announced the appointment of Lisa Hershey as Managing Director and Chief Compliance Officer with...

Operations

OCC Issues Paper on Central Clearinghouse Resiliency and Stability

Scott Porter - September 23, 2020

In the midst of record cleared contract volume, OCC, the world's largest equity derivatives clearing organization, has released a paper titled, Optimizing Incentives, Resilience...

Compliance

European ESG Disclosure Requirements for Asset Managers

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...

Risk

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

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...

Analysis

CFTC Considers New Approach to Regulation of Electronic Trading

Guest Post - September 22, 2020

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

Compliance

Canadian Securities Regulators Offer Liquidity Risk Guidance for Investment Funds

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...

Operations

SWIFT Unveils New Strategy for Instant Securities Processing Payments

Scott Porter - September 17, 2020

Enabling seamless transactions from one account to another anywhere in the world with end-to-end transparency and predictabilityMade available through a next-generation digital...

Data

Citi Upgrades Data Service Platform for Securities Services Clients

Scott Porter - September 17, 2020

Citi confirmed today that it has enhanced its securities services data services platform Citi VelocitySM Clarity by introducing an Integrated Reporting tool, expanding...

Securities Finance

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

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...

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