Monday, August 2, 2021

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OPERATIONS

COMPLIANCE

Compliance

ACA: 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

Virginia Reagan -
97% of reports under MIFIR/EMIR contain inaccuraciesOn average each report has 30 separate error typesDespite this, 87% of firms are confident in the quality...
Analysis

First Ever SEC Registered Digital Token IPO May Bring Clarity to Blockchain Asset Industry

Guest Post -
by Alon Y. Kapen On May 3, 2021, blockchain-based trading platform operator INX Ltd. announced it had completed its initial public offering of digital tokens, raising...

Basel Committee Consults on Prudential Treatment of Crypto Asset Exposures

Compliance Hamilton Joel -
Basel Committee issues public consultation on preliminary proposals for the prudential treatment of banks' crypto asset exposures.The proposals split crypto assets into two broad...

ISDA Expands Clause Library to Cover Collateral Documentation

Compliance Virginia Reagan -
ISDA said today that it has expanded ISDA Clause Library to cover its collateral documentation, a development it said will bring greater efficiency and standardization to...

Canadian Securities Regulators Outline Framework for Crypto Asset Platforms

Compliance 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...

Deutsche Börse Introduces buy-in Facility in Accordance with CSDR

Compliance 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...

NEWS AND VIEWS

Accelerated Settlement and Achieving Automation
DTCC Connection | July 27, 2021

Crypto is knocking – Time to get operations ready?
Post Trade 360 | June 21, 2021

75% of repo market transactions should be STP by 2025
Finadium | June 17, 2021

Crypto Industry to SEC: Safe Harbor for Broker Custodians Isn’t Safe
FinOps Report | June 16, 2021

US Settlement Cycle Myth Buster DTCC Connection | June 16, 2021

‘Leaders in Custody’ Award Winners
Global Custodian | June 14, 2021

US Legislators’ Last Chance to Catch Up on EU’s Full LEI Adoption
FINREG Alert | June 14, 2021

SDR will Create a More Efficient Post-Trade Process
DTCC Connection | June 11, 2021

Gensler Spotlights SEC Thinking on T+0 Settlement
Asset Servicing Times | June 10, 2021

Securities Class Action Settlements: Don’t Leave Money on the Table
FinOps Report | June 4, 2021

The Anti-Money Laundering Act and Crypto Collide: Non-Fungible Tokens King & Spalding LLP | May 25, 2021

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RESEARCH

SEMINARS

FINTECH

First Ever SEC Registered Digital Token IPO May Bring Clarity to Blockchain Asset Industry

Guest Post -
by Alon Y. Kapen On May 3, 2021, blockchain-based trading platform operator INX Ltd. announced it had completed its initial public offering of digital tokens, raising...

OCC Hits the Brakes on Crypto and Fintech: What Next?

Guest Post -
by Richard Gottlieb, Brian Korn and Craig Miller When Michael Hsu became acting U.S. Comptroller of the Currency earlier this month, banking industry experts predicted...

Gartner Identifies Top 10 Data and Analytics Technology Trends for 2021

Virginia Reagan -
Gartner, Inc. has identified what it says are the top 10 data and analytics (D&A) technology trends for 2021 that can help organizations respond to change,...

Credit Suisse, Instinet Achieve First T+0 Settlement via Paxos

Hamilton Joel -
Paxos Trust Company has confirmed that Instinet and Credit Suisse have settled US listed equities trades on a same-day settlement cycle (known as T+0)...

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...
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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

Financial Counterparties Experienced Widespread Deterioration

Virginia Reagan -

Basel Committee Issues Principles for Operational Resilience and Risk

Operations Scott Porter -
Principles for operational resilience aim to increase banks' capacity to withstand disruptions due to potentially severe events.Revised principles on operational risk focus on change...

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...

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...

DATA

ACA: 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

Virginia Reagan -

Gartner Identifies Top 10 Data and Analytics Technology Trends for 2021

Data Virginia Reagan -
Gartner, Inc. has identified what it says are the top 10 data and analytics (D&A) technology trends for 2021 that can help organizations respond to change,...

DTCC Receives SEC Approval to Provide Security-Based Swap Data Reporting Services

Data Hamilton Joel -
DTCC’s Global Trade Repository (GTR) service to offer new trade reporting capabilities in support of forthcoming SEC rules, providing the industry with a single...

SIX, AccessFintech Partner on CSDR Eligibility Data Challenges

Data Virginia Reagan -
Firms join forces to solve a significant challenge in categorizing CSDR eligibility, using SIX reference and pricing data on the AccessFintech platform. AccessFintech and SIX...
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LATEST ARTICLES

Operations

Survey: Most Settlement Fails Due to Middle Office Problems

Hamilton Joel -
Survey by Torstone Technology in collaboration with GreySpark Partners reveals data and technology challenges in the middle-offices of banks and brokersT+1 and CSDR pose...
Read more
Operations

DTCC Addresses Volatility in ETF Collateral Management Process

Hamilton Joel -
Infrastructure giant Depository Trust & Clearing Corporation (DTCC) confirmed today that its subsidiary, National Securities Clearing Corporation (NSCC), has launched an automated solution that...
Read more
Risk

Financial Counterparties Experienced Widespread Deterioration

Virginia Reagan -
Financial counterparties have experienced widespread deterioration, according to the latest Credit Benchmark consensus data. The latest analysis by the Financial Counterpart Monitor indicates banks of...
Read more
Operations

CDs Dematerialized at DTCC

Hamilton Joel -
Infrastructure giant DTCC today confirmed the launch of its new Underwriting Central (UWC) platform, an automated service for electronic Certificates of Deposit (CD) offered...
Read more
Operations

Banks, CSD Confirm Successful Securities Settlement Test with Central Bank Digital Currency

Virginia Reagan -
- Banque Internationale à Luxembourg, LuxCSD and Seba Bank tested use of Central Bank Digital Currency (CBDC) for securities transactions - Conducted by Banque de...
Read more
Compliance

ACA: 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

Virginia Reagan -
97% of reports under MIFIR/EMIR contain inaccuraciesOn average each report has 30 separate error typesDespite this, 87% of firms are confident in the quality...
Read more
Analysis

First Ever SEC Registered Digital Token IPO May Bring Clarity to Blockchain Asset Industry

Guest Post -
by Alon Y. Kapen On May 3, 2021, blockchain-based trading platform operator INX Ltd. announced it had completed its initial public offering of digital tokens, raising...
Read more
Operations

Industry Groups Collaborate on Digital Asset Standards

Virginia Reagan -
To examine synergies between the DTI and ISIN standards Etrading Software (ETS), acting as the selected Registration Authority for the new International Organization for Standardization’s...
Read more
Compliance

Basel Committee Consults on Prudential Treatment of Crypto Asset Exposures

Hamilton Joel -
Basel Committee issues public consultation on preliminary proposals for the prudential treatment of banks' crypto asset exposures.The proposals split crypto assets into two broad...
Read more
Operations

ESMA Launches 2021 Central Counterparties Stress Test

Virginia Reagan -
EU securities markets regulator ESMA) has published the framework for its fourth Stress Test for Central Counterparties (CCPs). As required by the European Markets Infrastructure Regulation (EMIR),...
Read more
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