Monday, November 23, 2020

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OPERATIONS

COMPLIANCE

Analysis

Digital Markets: Closing the Regulatory Gap on All Fronts?

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

MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

Guest Post -
The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance.
Read more

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...

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...

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...

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...

Boosting Blockchain: Germany to Introduce Electronic Securities

Compliance Guest Post -
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 -
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 -
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 -
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

DTCC Client Risk Forum Reviews Volatility Lessons of 2020
DTCC Connection | Oct 26, 2020

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

Getting Data Management Right
DTCC Connection | Oct 8, 2020

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RESEARCH

Securities Finance

Innovation in Collateral Management: A Forward-Looking Perspective

Scott Porter -
The latest Aite Group report finds that firms have taken a transformational approach to developing innovations in collateral management.The 2008 financial crisis...
Read more
FinTech

Gartner Identifies the Top Strategic Technology Trends for 2021

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

SEMINARS

Operations

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

Scott Porter -
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...
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Data

XBRL Guides Regulators Building Financial Data Standards Programs

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

Leaders Release Unprecedented Map of Blockchain Standards

FinTech Scott Porter -
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,...
Read more

Gartner Identifies the Top Strategic Technology Trends for 2021

FinTech Scott Porter -
Gartner has released its assessment of the top strategic technology trends that organizations need to explore in 2021. Analysts presented their findings...
Read more

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...
Read more

RMA Calls for Enhanced Infrastructure to Deal with Digital Corporate Actions

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

SWIFT Report: How Cyber Attackers ‘Cash Out’

FinTech Scott Porter -
By illuminating final stage in money laundering process, BAE Systems report commissioned by SWIFT supports efforts by banks to prevent, detect and...
Read more
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CONFERENCES

Data

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

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

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

Scott Porter -
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...
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PUBLICATIONS

Compliance

10 Best Books for FinOps Professionals

Scott Porter -
Browsing Amazon for recent books on finance and capital markets, one finds dozens – maybe hundreds – of books on investing, trading, analysis and...
Read more
FinTech

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

Scott Porter -
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,...
Read more
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SECURITIES FINANCE

Securities Finance

Innovation in Collateral Management: A Forward-Looking Perspective

Scott Porter -
The latest Aite Group report finds that firms have taken a transformational approach to developing innovations in collateral management.The 2008 financial crisis...
Read more

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...

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...

RMA Calls for Enhanced Infrastructure to Deal with Digital Corporate Actions

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

RISK

Operations

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

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

ESMA To Recognize Three UK CCPs As of January 1

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

To Find Best Execution, Investors Seek More and Better Data

Data Scott Porter -
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 -
• 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 -
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...
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LATEST ARTICLES

Securities Finance

Innovation in Collateral Management: A Forward-Looking Perspective

Scott Porter -
The latest Aite Group report finds that firms have taken a transformational approach to developing innovations in collateral management.The 2008 financial crisis...
Read more
Operations

ISDA Launches New Legal Papers on Smart Contracts and DLT

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

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

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

Leaders Release Unprecedented Map of Blockchain Standards

Scott Porter -
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,...
Read more
FinTech

Gartner Identifies the Top Strategic Technology Trends for 2021

Scott Porter -
Gartner has released its assessment of the top strategic technology trends that organizations need to explore in 2021. Analysts presented their findings...
Read more
Analysis

Digital Markets: Closing the Regulatory Gap on All Fronts?

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

To Find Best Execution, Investors Seek More and Better Data

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

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

Scott Porter -
Seven central banks and the BIS release a report assessing the feasibility of publicly available CBDCs in helping central banks deliver their...
Read more
Analysis

MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

Guest Post -
The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance.
Read more
Securities Finance

Survey: ESG Investing and Securities Lending Can Coexist

Scott Porter -
A new survey of leading institutional investors released today by The Risk Management Association (RMA) revealed that 95% of respondents believe that...
Read more
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Most Popular

10 Best Books for FinOps Professionals

Compliance Scott Porter -
Browsing Amazon for recent books on finance and capital markets, one finds dozens – maybe hundreds – of books on investing, trading, analysis and...
Read more

Deutsche Börse Launches Buy-in Agent Service

Operations Scott Porter -
Deutsche Börse Group said it was taking another important step in its efforts to best support both the financial industry and the regulatory agenda....
Read more

Finastra Partners with Xceptor to Automate its Securities Reconciliaton Offering

FinTech Scott Porter -
Finastra confirmed today that it is partnering with Xceptor, an intelligent automation software company, to offer new reconciliation functionality to its securities market customers. Thanks...
Read more

SEC Adopts Capital, Margin and Seg Requirements

Compliance Scott Porter -
The Securities and Exchange Commission has taken another significant step toward establishing the regulatory regime for security-based swap dealers by adopting a package of...
Read more
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