Regulation & Compliance

Barclays, Goldman Sachs and J.P. Morgan To Use DTCC’s Global Trade Repository in support of SFTR obligations

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 The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that Barclays,

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FIA Warns of Increased Market Fragmentation Caused by Regulation

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FIA President and CEO Walt Lukken today released a white paper that expresses FIA’s concerns about increased fragmentation of the global listed and cleared derivatives markets due to inconsistent and duplicative regulatory frameworks. Further, the paper urges regulators to embrace the principles of reliance and regulatory cooperation and makes recommendations on how to avoid increased fragmentation in the regulation of cross-border activity in the global derivatives markets.

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NRI’s I-STAR/CORE updated for FSB’s Standards and Processes for Global Securities Financing Data Collection and Aggregation

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New compliance ecosystem achieves compliant data reporting for repos and securities lending

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EMIR REFIT – A Review of Recent Changes (What was Included, What’s Not)

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The financial markets now has clarity on some of the areas the EMIR REFIT programme and in particular, some of the changes as they pertain to small financial counterparts, CCP clearing among pension funds and trade reporting requirements. In this Q&A, Pauline Ashall, Partner at Linklaters in London, offers us a review of the recently announced changes.

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SFTR: Will it bring transparency and STP to securities lending and repo?

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Coming so close on the heels of MiFID II and EMIR, navigating the new SFTR reporting landscape will not be easy for market participants. Lynn Strongin Dodds looks at SFTR’s onerous reporting requirements and the hurdles attached to delegated reporting.

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Joseph Cerullo: Profile of a Chief Compliance Officer

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The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated the designation of chief compliance officers for futures commission merchants (FCMs), swap dealers and major swap participants. Joseph Cerullo is chief compliance officer for J.P. Morgan’s FCM and U.S. swap dealers. In this profile, he discusses his role, how it has evolved along with market changes in the listed and OTC derivatives space and the challenges that lie in store.

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DTCC Receives Regulatory Approval to Provide Derivatives Trade Reporting Services in Switzerland in Support of FINFRAG

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DTCC’s Global Trade Repository continues to add new jurisdictions to provide the industry with a single platform to support global trade reporting

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ISDA Publishes Final Results of Benchmark Fallbacks Consultation

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The International Swaps and Derivatives Association, Inc. (ISDA) has today published a report summarizing the final results of a consultation on technical issues related to new benchmark fallbacks for derivatives contracts that reference certain interbank offered rates (IBORs).

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The Future Of Financial Markets: Addressing Unknowns & New Opportunities

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It’s been 10 years since the financial crisis, and since then the industry has undergone radical change with the introduction of new financial regulation impacting trade and post-trade processing for both the buy and sell side. Looking ahead to 2019 and beyond, the industry faces a whole new set of challenges including geopolitical change, and of course including Brexit. But at the same time the industry faces a new set of opportunities in the form of financial technology innovation.

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Winter is coming… Rising to the repapering challenges of IM Phases 4 and 5

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By Michael Beaton of DRS

Introduction

The deadline for compliance with Phase 4 and Phase 5 of the IM requirements is miles away, isn’t it?  Isn’t it…?

The truth is that, whether you like it or not, the clock is already ticking.  Whether anyone has told you or not, the countdown has already begun.

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