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SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans

Scott Porter -
The Securities and Exchange Commission has issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit...
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Compliance

Four Trade Repositories Cleared to Include Securities Financing Transactions Reporting

Scott Porter -
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has approved the extension of registrations of four trade repositories (TRs) to...
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Data

Refinitiv Expands FX Post Trade Analysis and Compliance Solutions

Scott Porter -
Refinitiv has launched Refinitiv Compliance Archive (RCA), a unified compliance archive for unstructured message and trade data from over 50 sources that it says...
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Data

Report on Alternative Data Calls for Industry Standardization

Scott Porter -
Refinitiv has released the findings of its ‘A New Dimension of Data - Building an Open and Trustworthy Alternative Data Ecosystem’ report in collaboration...
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Compliance

Guidelines on the Use of ‘No Data’ Options in Securitization Reporting

Scott Porter -
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a Consultation Paper on Guidelines on securitization repository data completeness...
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Compliance

Regs Outlined for OTC Derivatives Data Elements

Scott Porter -
A new report identifies key criteria, functions and bodies for the governance arrangements for a set of critical data elements for over-the-counter (OTC) derivative...
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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...
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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....
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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...
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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...
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