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

Compliance

Greenwich: Investors Fear Negative Impact from a Financial Transaction Tax

Scott Porter - July 17, 2020

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...

Compliance

SIX Launches Fully Delegated SFTR Reporting for Swiss Repo Market

Scott Porter - July 14, 2020

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

Compliance

Basel Committee Reports on Basel III Implementation Progress

Scott Porter - July 7, 2020

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...

Compliance

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

Scott Porter - June 30, 2020

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

Compliance

Credit Risk Cited As Top Concern in Basel IV Survey

Scott Porter - June 26, 2020

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

Compliance

IOSCO Publishes Good Practices on Processes for Deference

Scott Porter - June 26, 2020

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

Compliance

Federal Agencies Finalize Amendments to Swap Margin Rule

Scott Porter - June 26, 2020

Five federal agencies have finalized changes to their swap margin rule to facilitate the implementation of prudent risk management strategies at banks and other...

Compliance

Canadian Securities Regulators Rethinking SRO Framework

Scott Porter - June 25, 2020

The Canadian Securities Administrators (CSA) is seeking input from investors, industry and the public on the framework for self-regulatory organizations (SROs) in Canada. In a...

Compliance

The Importance of a Data-Centric Approach to Compliance

Scott Porter - June 19, 2020

Increased complexity, rising costs and significant financial, operational and reputational risk have accompanied the wave of new regulations implemented over the past decade. Add...

Compliance

ESMA Renews Its Decision Requiring Net Short Position Holders to Report Positions of 0.1% and Above

Scott Porter - June 11, 2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has renewed its decision to temporarily require the holders of net short...

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...

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Compliance

Coalition Greenwich Report Analyzes Buy-Side Perspective on 2022’s Biggest Regulatory and Market Structure Debates

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

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

Basel Committee Consults on Prudential Treatment of Crypto Asset Exposures

ISDA Expands Clause Library to Cover Collateral Documentation

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10 Best Books for FinOps Professionals

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