SFTR

Did ESMA address the industry’s key issues in their MiFID II guidelines for transaction reporting?

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In December 2015, ESMA published a consultation paper on transaction reporting, order record keeping and clock synchronisation.  Shortly after, we summarised the 10 key issues from the MiFID II guidelines for transaction reporting.  Now, having considered the issues raised in the responses to the consultation paper, ESMA has published its guidelines. Considering the key topics

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SFTR Shorts, Part 4 – Country Codes for Identifying Location of Branches

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This is the fourth and last installment in Alan McIntyre’s informative and well-received “SFTR Shorts” series.

ESMA Horizontal

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SFTR Shorts, Part 3 – Is ISO 20022 Still Being Mandated?

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The Third in the “SFTR Shorts” Series by Alan McIntyre

ESMA Horizontal

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SFTR Shorts, Part 2 – Why is EMIR mentioned and what’s changing under EMIR?

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The Second in the “SFTR Shorts” series By Alan McIntyre

ESMA Horizontal

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So what is this latest SFTR paper that ESMA have published?

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The First in a series “SFTR Shorts” By Alan McIntyre

ESMA Horizontal

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Securities Financing Transactions Regulation (SFTs) – a regulation that is not only about SFTs

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There is no hiding that securities financing transactions, thanks to their role in the financial crisis of 2007-2008, do not have a good reputation.  The Financial Stability Board’s policy framework seeks to address SFTs’ complex and opaque nature through increased transparency of these products to allow clients a more accurate assessment of where to invest

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MiFID II: strategic and business model implications

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The revised European Markets in Financial Instruments Directive (MiFID II) looms over the regulatory horizon like an oncoming storm in the financial services industry. Aiming to improve the safety and transparency of financial markets, MiFID II reaches far beyond investment banks, impacting asset managers, commodity firms and OTC brokers and dealers too.  In terms of

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BOARD MEMORANDUM: Subject: Time to put RegTech on our agenda?

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Date: April 2016 Dear fellow board members, As the Financial Conduct Authority’s acting head has so rightly pointed out, sustainability is the key to pleasing our shareholders and delighting our customers with a global approach to compliance. Since taking the seat which oversees our global compliance function in 2008, I’ve watched in horror as G20

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JWG FCA RegTech Roundtable – key takeaways

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In November the FCA issued a call for input on RegTech. JWG argued that new and proven tools can be employed but, to do so, the debate must be reframed as a ‘RegTech commons’ for the market to take off. We assembled top technologists from 14 leading firms with the FCA under Chatham house rule

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SFTR – beware silver bullets

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A consortium of trade bodies yesterday published a statement to assist with SFTR compliance. The Association for Financial Markets in Europe (AFME), FIA, the International Capital Market Association (ICMA), the International Swaps and Derivatives Association, Inc. (ISDA) and the International Securities Lending Association (ISLA) have jointly developed a template which market participants may use to […]

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