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LSEG & Boat to Launch Combined Reporting Services

June 8, 2016 by Eugene Grygo

TRADEcho to Hit Early Next Year The London Stock Exchange Group (LSEG) and Boat Services Ltd. will be offering TRADEcho, a combination of the two vendors’ existing and complimentary trade reporting services, officials say. TRADEcho is slated to be available by the first quarter of 2017 and will offer a single trade reporting venue and… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Securities Operations, Industry News, Middle-Office, Operational Risk, Risk Management, Settlement, FinTech Trends, Back-Office, Standards, Regulation & Compliance Tagged With: Boat Services, CCP, collateral management, Comprehensive Capital Analysis and Review (CCAR), counterparty risk, Dodd-Frank, EMIR, Federal Reserve Board, ISO 20022, LCH, London Stock Exchange Group, LSEG, MiFID II, risk management, stress tests, SWIFT, T+1, trade reporting, TRADEcho

Schroders Luxembourg to Use KYC Hub

May 24, 2016 by Eugene Grygo

Asset manager Schroder Investment Management (Luxembourg) S.A (SIM) is using a centralized service that stores legal entity level information, documentation and ownership information that are key components for several operations that require accurate know your customer (KYC) client documentation and related data. Founded in August 1991, SIM, aka Schroders Luxembourg, provides central support to Schroders’… Read More >>

Filed Under: Operational Risk, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives Tagged With: Clarient Entity Hub, Clarient Global, Dodd-Frank, DTCC, EMIR, FATCA, KYC, Schroder Investment Management

ESMA Fines DTCC for Trade Repository Shortcomings

April 4, 2016 by Eugene Grygo

Post-trade infrastructure services provider DTCC has been fined nearly $73,000 by the European Securities and Markets Authority (ESMA) for alleged failures to properly offer “direct and immediate access to derivatives trading data” for nine months in 2014. The regulator’s fine of €64,000 (equivalent to 72,907.15 given a 1 EUR = 1.13917 USD rate) is the… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: counterparties, Derivatives Operations, derivatives regulation, DTCC, EMIR, ESMA, European Securities and Markets Authority, OTC derivatives, trade repository

CFTC Designates NFA as SDR Data Recipient

February 16, 2016 by Eugene Grygo

CFTC Designates NFA as SDR Data Recipient The CFTC issued an order authorizing the National Futures Association (NFA) as “a designee to receive access to data maintained by swap data repositories (SDR),” officials say. The NFA is touted by the CFTC as the “only registered futures association (RFA)” actually registered with the commodities regulator. “As… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Securities Operations, Clearing, Middle-Office, Operational Risk, Ops Automation, Settlement, General Interest, Governance, FinTech Trends, Back-Office, Regulation & Compliance, Derivatives, Regulatory Compliance, Industry News Tagged With: AQMetrics, CFTC, clearing, collateral management, DTCC, EMIR, middle office, Mifir, National Futures Association, OTC derivatives, Over the Counter Collateral Optimized (OTCCO), regulation, SS&C Technologies, swap data repositories (SDRs)

Lack of Global Standards Impedes Trade Repositories: ESMA Report

February 11, 2016 by Lynn Strongin Dodds

The lack of global standards in the trade repository space (TR) could hinder the repository process, a finding of the European Securities and Markets Authority (ESMA) in its recently published 55-page 2016 annual report, which outlines its supervisory priorities for credit ratings agency (CRA) governance as well as the quality and data access for TRs…. Read More >>

Filed Under: Derivatives Operations, Middle-Office, Operational Risk, Risk Management, Governance, FinTech Trends, Regulation & Compliance, Regulatory Compliance Tagged With: Committee of Payments and Market Infrastructures, Dodd-Frank, EMIR, ESMA, European Market Infrastructure Regulation, European Securities and Markets Authority (ESMA), Financial Stability Board, Fitch Ratings, governance, harmonization, Legal Entity Identifiers, LEIs, Linedata, Moody’s, OTC derivatives, Sapient GLobal Markets, Standard & Poor's, Standards, trade repository, Unique Product Identifiers, Unique Trade Indentifiers, UPIs, UTIs

Basel Committee Eases Risk Capital Rules

January 25, 2016 by Lynn Strongin Dodds

Although banks heaved a sigh of relief that the Basel Committee on Banking Supervision’s revised market risk capital framework was less onerous than feared, they will still be facing a hugely expensive undertaking, impacting both infrastructure and certain business lines. The exact costs banks will incur are hard to calculate because it will depend on… Read More >>

Filed Under: Securities Operations, Data Management, General Interest, FinTech Trends, Standards, Regulation & Compliance, Industry News Tagged With: Basel, Basel Committee, data management, EMIR, market risk, MiFID, Oliver Wyman, Rebecca Emerson

Accenture Acquires Formicary to Bolster Derivatives Services

January 14, 2016 by Lynn Strongin Dodds

Global professional services company Accenture has acquired U.K.-based capital technology markets consultancy Formicary, as part of its efforts to bolster its capabilities in market infrastructure. This area has become increasingly important as financial services firms look for solutions to combat rising costs incurred under regulatory legislation such as Dodd Frank in the U.S. and the… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Clearing, Mergers & Acquisitions, Regulatory Compliance, Industry News Tagged With: Accenture, acqusition, Beacon Consulting Group, Dodd-Frank, EMIR, Formicary, Larry Tabb, MiFID, OTC Clearing, OTC derivatives, Owen Jelf, Tabb Group

Sapient Debuts Portal to Compliance Platform

January 13, 2016 by Eugene Grygo

With the official debut of the CMRS Portal, an outsourced, “low-touch” web link, consultancy Sapient Global Markets is targeting smaller securities firms that have a fairly low volume of derivatives trades to report to regulators and other organizations. The CMRS Portal will allow firms to use the services of the established Sapient CMRS (Compliance Management… Read More >>

Filed Under: Derivatives Operations, Governance, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: automation, CME, CMRS Portal, compliance, derivatives, Dodd-Frank, EMIR, ICE Trade Vault, MiFIDII, REGIS-TR, regulation, Sapient GLobal Markets, trade reporting, UnaVista

Texas Hedge Fund to Use Broadridge Platform

January 12, 2016 by Eugene Grygo

Hedge Fund Signs Up for Broadridge’s Service The Austin, Texas-based Prophet Capital Asset Management, a $2.3 billion structured credit hedge fund, is using an integrated trading, portfolio management and operating platform from Broadridge Financial Solutions to support a single platform for trading, according to Broadridge. “An established structured credit fund like ours, with a two-decade… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Buy-Side, Industry News, Middle-Office, Ops Automation, Reconciliation & Exceptions, FinTech Trends, Back-Office, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: automation, Banque Cantonale Vaudoise, Broadridge Financial Solutions, Dodd-Frank, EMIR, FinfraG Act, fintech, post trade, Prophet Capital Asset Management, reconciliation, trade reporting

Swaps Clearing in Europe Catching Up to U.S. Rules

December 14, 2015 by Pauline McCallion

The European Union has set the date for its clearing obligation, bringing European financial reform more into line with current U.S. obligations. The publication of the European Securities and Markets Authority’s (ESMA) regulatory technical standards (RTS) in the Official Journal of the European Union on December 1, 2015 will kick over-the-counter (OTC) derivatives clearing into… Read More >>

Filed Under: Derivatives Operations, Clearing, Operational Risk, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: clearing, counterparty risk, derivative regulation, derivatives, Dodd-Frank, EMIR, ESMA, European Market Infrastructure Regulation, European Securities and Markets Authority, European Union, financial regulation, interest rate swap, LCH.Clearnet, OTC derivatives, OTC derivatives clearing, Philip Whitehurst, regulation, regulatory technical standards, RTS, SwapClear, swaps

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