Regulation

Articles

23 Mar 2020 — Deputy Editor

Recognising the upheaval caused by COVID-19 on financial markets, ESMA has made a number of announcements -

 

SFTR - It has postponed, by three months, the reporting obligations related to securities financing transactions under the Securities Financing Transactions Regulation and under Markets in Financial Instruments Regulation.

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2 MINS
20 Mar 2020 — Bill Hodgson

Visit the FIA page for a packed collection of statements from exchanges and regulators

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2 MINS
16 Mar 2020 — Bill Hodgson

EMIR Refit defined a new category of firm the NFC- who are obliged to start trade reporting in June 2020

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2 MINS
12 Mar 2020 — Deputy Editor

The European trade repository REGIS-TR is partnering with GLMX to provide a hosted reporting service for Securities Finance Transaction Regulation (SFTR).

Clients will be able to use GLMX’s pre- and post-trade platformand then delegate their reporting to GLMX to report their securities finance transactions to REGIS-TR under SFTR.

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1 MIN
10 Mar 2020 — Deputy Editor

Patrick Ludden joined Kaizen Reporting on March 2nd, as Regulatory Reporting SME and Client Engagement Manager.

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1 MIN
06 Mar 2020 — Deputy Editor

Reval Systems has launched a cloud-based consolidated audit trail (CAT) service for firms trading equities and equity options.

As a registered CAT Reporting Agent, Rival offers CAT support for firms using any trading platform.

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1 MIN
04 Mar 2020 — Deputy Editor

Launched in January 2018, MiFID II /MiFIR is now under review by The European Commission. In its initial stage it is gathering feedback on recommended changes from Member States, national competent authorities, the European Supervisory Authorities, market participants (such as data service providers, trading venues, investment firms, and asset managers, and FinTechs.

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2 MINS
03 Mar 2020 — Bill Hodgson

Although EMIR reporting started in 2014 the data quality has needed continuous improvement. Now the International Swaps and Derivatives Association, Inc. (ISDA), the European Fund and Asset Management Association (EFAMA), the European Venues and Intermediaries Association (EVIA), the Futures Industry Association (FIA) and the Global Foreign Exchange Division (GFXD) of the Global Financial Markets Association (GFMA) have publishing a public field-by-field best practise guide.

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26 Feb 2020 — Bill Hodgson

ICMA’s European Repo and Collateral Council (ERCC) has today published its guide to reporting repo transactions under the EU Securities Financing Transactions Regulation (SFTR). 

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2 MINS
24 Feb 2020 — Bill Hodgson

The CFTC has put forward modifications to their swap reporting rules which bring uncleared swaps into scope and dramtically change the data payload to SDRs.

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10 MINS
21 Feb 2020 — Alan McIntyre

Alan explains the four Rs of SFTR and what comes next for regulatory reporting in the US, Europe and Korea.

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5 MINS
21 Feb 2020 — Deputy Editor

A great deal has been written about the RegTech industry over the past five years. As we emerge from the RegTech hype cycle we see that this market, whilst growing, continues to face significant challenges, which are slowing its evolution.

The focus of JWG’s recent RegTech Conference was to define strategies that enable the RegTech market to grow and evolve over the next decade.

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3 MINS