Tuesday, October 20, 2020

LATEST ARTICLES

ISDA Proposes Greater Collaboration Between Derivatives and Securities Finance Markets

ISDA has today published a new whitepaper that identifies opportunities for greater collaboration between derivatives and securities financing transaction (SFT) markets, and...

DTCC’s ClaimConnect Aims to Automate and Simplify Corporate Actions Claim Processing

New service will enable clients to bilaterally manage and settle claims seamlessly through a flexible, single point of entry

Time to Do the Foxtrot (Three Step): SEC Establishes Improved Process for Settlement of Digital Asset Securities

By: Richard B. Levin, Stephen A. Rutenberg and Peter F. Waltz The U.S. Securities and Exchange Commission (“SEC”) Division...

Clearstream Creates New Fund Center Following Fondcenter AG Acquisition

Clearstream closes transaction acquiring majority stake in Fondcenter AG from UBSNewly combined fund distribution support business Clearstream Fund Centre has over USD...

Morgan Stanley to Pay $5 Million for Violations in Prime Brokerage Swaps Business

The Securities and Exchange Commission today confirmed settled charges against Morgan Stanley for violations of Regulation SHO, the regulatory framework governing short...

RMA Calls for Enhanced Infrastructure to Deal with Digital Corporate Actions

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

DTCC Outlines Steps for Complete Dematerialization of Physical Securities in the US

DTCC is building consensus among stakeholders on critical next steps to fully transition securities processing from physical certificates to electronic records.

ESMA To Recognize Three UK CCPs As of January 1

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, confirmed yesterday that the three central counterparties (CCPs) established in...

ESMA Consults on MiFIR Reference Data and Transaction Reporting

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...

Preventing Withholding Tax Reclaim Schemes

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published the Final Report on its inquiry into Cum/Ex, Cum/Cum and...

Most Popular

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...

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....

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...

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...