Regulation

Articles

20 Jun 2019 — Rob Hill

Latest industry recognition ensures Clareti platform customers continue to benefit from the most stringent security accreditations.

London, 20 June 2019 - Gresham, the leading provider of real-time financial transaction control and enterprise data integrity solutions, announces that its Clareti Platform and associated software development processes have passed the world’s highest safety standards for handling cardholder data. 

+0
2 MINS
77 Views
31 Oct 2018 — Bill Hodgson

A detailed research report into the gathering of OTC and ETD data reveals issues with the work being done by central banks to clean the data, and missing or confused attributes.

+0
26 Views
18 Oct 2018 — Bill Hodgson

This chart shows without question what a disaster it would be if a legal or regulatory barrier is erected down the English Channel (French: la Manche, "The Sleeve"; German: Ärmelkanal, "Sleeve Channel"; Breton: Mor Breizh, "Sea of Brittany"; Cornish: Mor Bretannek, "British Sea"; Dutch: Het Kanaal, "The Channel").  Whilst Paris and Frankfurt have some significance to volumes in the derivatives markets and have exchanges and CCPs which could process the same products as in the UK, the idea that the majority of trading could jump the channel on March 30th next year is near impossible.

+1
25 Views
07 Aug 2018 — Bill Hodgson

The reduction of the IM threshold from €750bn to €8bn will result in a jump of ten times the number of firms in scope.

+0
34 Views
06 Aug 2018 — Bill Hodgson

Although the FX Global Code isn’t mandatory, many firms have already signed up. Increasingly it’s looking like becoming the industry norm. In the UK, the FCA has highlighted the code as a way to show compliance with proper standards of market conduct, so potentially an easy boost to a firm’s reputation. But the obligations it brings can be harder than you think. And control failings for those who’ve signed up could have the opposite effect on their industry standing.

+0
46 Views
06 Aug 2018 — Bill Hodgson

Although the FX Global Code isn’t mandatory, many firms have already signed up. Increasingly it’s looking like becoming the industry norm. In the UK, the FCA has highlighted the code as a way to show compliance with proper standards of market conduct, so potentially an easy boost to a firm’s reputation. But the obligations it brings can be harder than you think. And control failings for those who’ve signed up could have the opposite effect on their industry standing.

+0
46 Views
18 Jun 2018 — Bill Hodgson

The European Parliament votes to move forward with changes to EMIR

+0
54 Views
17 Apr 2018 — Akber Datoo

2018 sees the introduction of two major pieces of regulation that lay important foundations for a better and brighter data-centric digital economy.
 

+0
22 Views
16 Mar 2018 — Lloyd Altman

SFTR will creep up on firms by 2019, join us to get ahead of the game and hear perspectives from every angle. We have Paul Bradford, Head of Stock Loan and Repo trading at ING who will provide views on the effect of SFTR on the trading desk. Fabian Klar from REGIS-TR will explain their plans, and compare SFTR to other reporting regulations. Simon Davies will paint a picture of what an SFTR compliance plan should look like, and how long you need to be ready. Mark Steadman will update us on the Deriv/SERV plans and how SFTR will impact other streams of reporting. Alan McIntyre will contrast implementing SFTR with previous projects, and explain where re-use of previous infrastructure can be made. Other areas for discussion include changes to business processes, reconciliation requirements, data volumes, data formats, delegated reporting, the quality of the actual regulatory text, and your counterparties involvement.

+0
15 Views
Brunnhilde
29 Jan 2018 — John Philpott

SFTR was published in the Official Journal back in 2015 and we’ve already gone live with the Article 15 ‘transparency of reuse’ requirements in 2016, as well as the Article 13 and 14 ‘transparency requirements’ for collective investment undertakings in 2017.

+0
35 Views
11 Dec 2017 — Ricky Maloney

With all eyes on the impending introduction of the complex web of joy that is MIFID II, another less discussed regulation is fast approaching and this article seeks to highlight just what that regulation is, who it impacts and how.

+0
19 Views
SFTR Breakfast Briefing
08 Dec 2017 — David Field

https://thefieldeffect.co.uk/white-papers/sftr-navigating-challenge/This is the second in a series of whitepapers where The Field Effect reviews the impacts of the Securities Finance Transaction Regulation (SFTR). This second 24 page white-paper covers in detail the Regulatory overview and business impacts, Changing your operating model and Next steps.

+0
25 Views