Monday, August 3, 2020

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OPERATIONS

COMPLIANCE

MiFID II: The Impact So Far

It has been over 30 months since the European Union’s Markets in Financial Instruments Directive came into force in January 2018. The...

CFTC Approves Final Cross-Border Swaps Rule, Exempt SEF Amendment Order

The Commodity Futures Trading Commission at its open meeting last week approved a final rule on the cross-border application of certain swap...

Financial Firms Struggled to Maintain Regulatory Compliance Standards

Greenwich Report Analyzes Challenges Facing Market Participants Trying to Maintain Compliance While Trading From Home When COVID-19 shuttered trading floors in March 2020, many buy-side...

SEC Greenlights Investment Fund Delivered in Security Tokens

On July 6, 2020, asset management firm Arca announced that the US Securities and Exchange Commission (SEC) granted it approval under the Investment Company...

Greenwich: Investors Fear Negative Impact from a Financial Transaction Tax

72% of market participants expect harm to retail investors and trading; 65% fear negative impact on personal portfolios; 70% anticipate reduction in their firm’s...

SIX Launches Fully Delegated SFTR Reporting for Swiss Repo Market

Complex reporting obligations resulting from the Securities Finance Transaction Regulation (SFTR) can be fully delegated to the Swiss Stock Exchange. The Collateral Cockpit™, launched...

Basel Committee Reports on Basel III Implementation Progress

The Basel Committee on Banking Supervision has today issued the Eighteenth progress report on adoption of the Basel regulatory framework.  Among the highlights: Report sets out...

ISDA, ASIFMA, FIA and GFXD Publish EU Benchmarks Regulation Review Recommendations

The International Swaps and Derivatives Association, Inc. (ISDA), the Asia Securities Industry and Financial Markets Association (ASIFMA), the Futures Industry Association (FIA) and the...

Credit Risk Cited As Top Concern in Basel IV Survey

There is a general consensus among bankers as to which challenges posed by the Basel III finalization reforms (commonly referred to as Basel IV)...

IOSCO Publishes Good Practices on Processes for Deference

The International Organization of Securities Commissions (IOSCO) has published a series of eleven good practices on processes for deference to assist regulatory authorities in...

NEWS AND VIEWS

BNP Paribas launches new predictive collateral coverage reporting solution
Asset Servicing Times | July 31, 2020

Securities and Markets Regulatory News, July 2020 #4
JD Supra | July 31, 2020

Reflections of Post-SFTR Implementation of Phases I & II
ISLA | July 31, 2020

Corporate Actions Demand on the Rise
Asset Servicing Times | July 30, 2020

Recalibrating CVA
ISDA derivatiViews | July 30, 2020

Fund managers ‘unaware’ of upcoming ESG disclosure requirements
Asset Servicing Times | July 30, 2020

T2-T2S consolidation, too, has a year added
Post Trade 360 | July 29, 2020

Securities lending is not oversupplied
Pierpoint Financial Consulting | July 29, 2020

Securities Finance – A Journey through Time
GlobalCustody.net | July 29, 2020

Have fund services executives accepted their fate?
Global Custodian | July 29, 2020

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RESEARCH

MiFID II: The Impact So Far

It has been over 30 months since the European Union’s Markets in Financial Instruments Directive came into force in January 2018. The...

Financial Firms Struggled to Maintain Regulatory Compliance Standards

Greenwich Report Analyzes Challenges Facing Market Participants Trying to Maintain Compliance While Trading From Home When COVID-19 shuttered trading floors in March 2020, many buy-side...

SEMINARS

XBRL Guides Regulators Building Financial Data Standards Programs

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

On Demand Webinar – Survive to Thrive: Risk and Compliance

How have technology priorities changed as a result of the pandemic? In the areas of financial crime compliance, cybersecurity, and operational risk, COVID-19 is having...

FINTECH

State Street Launches Post-Trade Transaction Cost Analysis for Equities

BestX, State Street’s foreign exchange and fixed income best execution analytics platform, confirmed today that it has expanded its execution analytics software...

TASE to Launch Blockchain-Based Securities Lending Platform

Platform is the First of Its Kind and Will Enable Capital Market Players Direct Lending Among All the Major Financial Instruments

SEC Greenlights Investment Fund Delivered in Security Tokens

On July 6, 2020, asset management firm Arca announced that the US Securities and Exchange Commission (SEC) granted it approval under the Investment Company...

AI to Speed Up M&A Due Diligence, But Data and ESG Issues Remain

In the next five years, new technologies like artificial intelligence will transform the mergers and acquisitions (M&A) process by decreasing the time it takes to...

Broadridge: Financial Services Firms Accelerating Technology Transformation to Navigate Pandemic

More than half of financial services companies plan to accelerate implementation of their next generation technology strategies, according to a new global survey of...
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CONFERENCES

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

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

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

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

10 Best Books for FinOps Professionals

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

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

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

TASE to Launch Blockchain-Based Securities Lending Platform

Platform is the First of Its Kind and Will Enable Capital Market Players Direct Lending Among All the Major Financial Instruments

ISLA, ISDA Agree to Collaborate on Digital Initiatives

The International Securities Lending Association (ISLA) and the International Swaps and Derivatives Association (ISDA) have agreed to collaborate on two key initiatives...

Pension Plans Unite for Securities Lending and Repo Trading

Four leading pension plans, California Public Employees' Retirement System (CalPERS), Healthcare of Ontario Pension Plan (HOOPP), Ohio Public Employees Retirement System (OPERS), and State...

SFTR Reporting Regime Sees Successful First Day

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, said it had received reports from trade repositories (TRs) indicating that the...

RISK

ISLA, ISDA Agree to Collaborate on Digital Initiatives

The International Securities Lending Association (ISLA) and the International Swaps and Derivatives Association (ISDA) have agreed to collaborate on two key initiatives...

CryptoCompare Benchmark for Crypto Exchanges to include CCP and Operational Risks

Digital asset data specialist CryptoCompare, has updated its cryptocurrency Exchange Benchmark, revealing a new ranking of exchanges based on several criteria including counterparty, operational,...

CCPs Could Withstand a Shock, Says ESMA

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published the results of its third stress test exercise regarding Central Counterparties...

Basel Committee Reports on Basel III Implementation Progress

The Basel Committee on Banking Supervision has today issued the Eighteenth progress report on adoption of the Basel regulatory framework.  Among the highlights: Report sets out...

DATA

Managing Reference Data as Volatility Grips

As equity and bond markets tumbled amid the Covid-19 volatility, structured products were actively used and intensively traded to manage the portfolios...

XBRL Guides Regulators Building Financial Data Standards Programs

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

Addressing Uncertainties around OTC Market Data

A diverse and competitive market structure has ensured European equity markets remain robust, according to a recently published study by the Association for Financial...

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

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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LATEST ARTICLES

WFE Calls for ‘Considered Approach’ to Treatment of CCP Equity in Resolution

The World Federation of Exchanges (WFE), the global industry group for central counterparties (CCPs) and exchanges, has called for a "careful and...

MiFID II: The Impact So Far

It has been over 30 months since the European Union’s Markets in Financial Instruments Directive came into force in January 2018. The...

State Street Launches Post-Trade Transaction Cost Analysis for Equities

BestX, State Street’s foreign exchange and fixed income best execution analytics platform, confirmed today that it has expanded its execution analytics software...

Managing Reference Data as Volatility Grips

As equity and bond markets tumbled amid the Covid-19 volatility, structured products were actively used and intensively traded to manage the portfolios...

TASE to Launch Blockchain-Based Securities Lending Platform

Platform is the First of Its Kind and Will Enable Capital Market Players Direct Lending Among All the Major Financial Instruments

XBRL Guides Regulators Building Financial Data Standards Programs

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

ESMA Preparing to Further Postpone CSDR Settlement Discipline

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, confirmed today that it is working on a proposal to...

ISLA, ISDA Agree to Collaborate on Digital Initiatives

The International Securities Lending Association (ISLA) and the International Swaps and Derivatives Association (ISDA) have agreed to collaborate on two key initiatives...

CFTC Approves Final Cross-Border Swaps Rule, Exempt SEF Amendment Order

The Commodity Futures Trading Commission at its open meeting last week approved a final rule on the cross-border application of certain swap...

Pension Plans Unite for Securities Lending and Repo Trading

Four leading pension plans, California Public Employees' Retirement System (CalPERS), Healthcare of Ontario Pension Plan (HOOPP), Ohio Public Employees Retirement System (OPERS), and State...

Most Popular

Deutsche Börse Launches Buy-in Agent Service

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

SEC Adopts Capital, Margin and Seg Requirements

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...

Finastra Partners with Xceptor to Automate its Securities Reconciliaton Offering

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...

Regulators Urge Use of Existing Standards to Address Cyber Risk

The Board of the International Organization of Securities Commissions today issued a final report that provides an overview of three internationally recognized cyber standards...