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RegTek.Solutions Targets SFTR Data Quality

January 11, 2018 by Eugene Grygo

RegTek.Solutions Targets SFTR Data Quality

Vendor RegTek.Solutions is launching a service that provides data quality assurance intended to help firms meet the requirements of the Securities Financing Transaction Regulation (SFTR) of the European Securities and Markets Authority (ESMA). The European regulation is intended to bring transparency to securities financing transactions (SFTs), and will require participants to report all SFTs to… Read More >>

Filed Under: Securities Operations, Data Management, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, FinTech Trends, Integration, Standards, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: Brian Lynch, ESMA, RegTek.Solutions, Securities Financing Transaction Regulation (SFTR), securities financing transactions, SFTR, Validate.Trade

Helpful Resources for Your MiFID II Journey

January 5, 2018 by Eugene Grygo

Helpful Resources for Your MiFID II Journey

The new era of MiFID II/MiFIR has officially begun and it’s not entirely clear if all the financial services firms across the globe that are impacted by the European regulatory reforms actually are in compliance. It looks as if it’s a mixed bag of some firms that are highly compliant while others are getting there…. Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, Ops Automation, Outsourcing, Back-Office, Opinion, Minding the Gap, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: ESMA, Eugene Grygo, European Securities and Markets Authority (ESMA), Fabrice Bouland, MiFID II, Mifir, Minding the Gap

LEIs Get a MiFID II Reprieve & Other Happy News!

December 22, 2017 by Eugene Grygo

LEIs Get a MiFID II Reprieve & Other Happy News!

In comparison to the gut-wrenching twists and turns of 2016, this year provided us with moments of healing, reflection and hope even though many events rocked the landscape for the securities industry. But, at certain points in 2017, rationality prevailed such as when on Dec. 20, the European Securities and Markets Authority (ESMA) issued a… Read More >>

Filed Under: Securities Operations, Industry News, Ops Automation, Risk Management, Governance, FinTech Trends, Back-Office, Opinion, Minding the Gap, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Reporting, Industry News Tagged With: ESMA, LEI, MiFID II, Mifir, Minding the Gap

ESMA Leaves Key OTC Questions Unanswered

June 8, 2017 by Lynn Strongin Dodds

Although the latest edict from the European Securities Market Authority (ESMA) was supposed to clarify the concept of “traded on a trading venue” (TOTV), there is still some uncertainty around the over the counter (OTC) component of securities transactions. The objective of ESMA’s opinion is to help market participants better understand under which circumstances transactions… Read More >>

Filed Under: Derivatives Operations, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: Brexit, EMEA, ESMA, European Securities Market Authority, ISIN, Markets in Financial Instruments Directive (MiFID II), Markets in Financial Instruments Regulation (MiFIR), multilateral trading facility (MTF), National Competent Authority (NCA), organised trading facility (OTF), OTC, over the counter, Rebecca Healey, regulated market (RM), systematic internalizer (SI)

ESMA Explores Blockchain’s Risks and Promise

June 21, 2016 by Lynn Strongin Dodds

It was only a matter of time before regulators wanted to lift the lid on blockchain and look deeper into the potential opportunities and challenges in the financial services sphere. The European Securities and Markets Authority (ESMA), an EU financial services watchdog, is throwing down the gauntlet with its recent discussion paper for public consultation… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Clearing, Operational Risk, Ops Automation, Risk Management, Settlement, FinTech Trends, Back-Office, Blockchain/DLT, Regulation & Compliance Tagged With: bitcoin, block trade, CCP, central counterparty clearinghouse (CCP), counterparty risk, cryptocurrency, derivatives clearing, distributed ledger technology (DLT), ESMA, EU, European Securities and Markets Authority (ESMA), European Union, Opimas, OTC Derivatives Operations and Processing Conference, settlement, T+0

CME to Offer CCP Services in Europe

June 21, 2016 by Eugene Grygo

CME to Offer Clearing for Global Firms The Chicago Mercantile Exchange Inc. (CME) has gotten the approval of the European Securities and Markets Authority (ESMA) to operate in the European Union as central counterparty clearinghouse (CCP). The notice came as part of an ongoing update of approved CCPs based in third countries, according to ESMA… Read More >>

Filed Under: Derivatives Operations, Clearing, Operational Risk, FinTech Trends, Back-Office, Integration, Regulation & Compliance Tagged With: AxiomSL, CCP, central counterparty clearinghouse (CCP), CME Clearing, CME Group, derivatives, derivatives clearing, ESMA, European Union, futures, Nomura Research Institute (NRI), Options, OTC derivatives, regulatory reporting, SAP

FIX to Get Extensions for MiFID II Compliance

June 14, 2016 by Eugene Grygo

The FIX protocol is being modified to provide mappings to the ISO 20022 data standard required for trade reporting to European authorities, and a forthcoming FIX version will support Market Model Typology (MMT) 3.0, intended to facilitate MiFID II compliance, according to the FIX Trading Community standards body. MiFID II transaction reporting extends the reporting… Read More >>

Filed Under: Securities Operations, Industry News, Middle-Office, FinTech Trends, Back-Office, Standards, Regulation & Compliance, Regulatory Reporting Tagged With: Approved Reporting Mechanisms (ARMs), Deutsche Borse, ESMA, FIX, FIX Trading Community, ISO 20022, Market Model Typology (MMT) 3.0, middle office, MiFID II, RTS 1, RTS 2, Standards, trade reporting

ESMA Amendments Provide Relief via MiFID II

May 13, 2016 by Lynn Strongin Dodds

The European Securities and Markets Authority (ESMA) recently issued amendments to its draft Regulatory Technical Standards (RTSs) under the Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR) that should give firms, especially those that trade less frequently, more breathing room. “The amendments are designed to respond to the legitimate concerns of the European… Read More >>

Filed Under: Derivatives Operations, Operational Risk, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: ESMA, European Commission, European Securities and Markets Authority, Katten Muchin Rosenman, Markets in Financial Instruments Directive, Markets in Financial Instruments Regulation, MiFID II, Mifir, OTC derivatives, over the counter

ESMA Pries Open Derivatives Clearing

April 18, 2016 by Lynn Strongin Dodds

Although not all clearinghouses will be happy, the European Securities Market Authority Association (ESMA) decision to allow more choice in trading and clearing was welcomed by the London Stock Exchange Group (LSEG) and Nasdaq Stock Market, which have long championed greater competition in derivatives clearing. The so-called open access rule, set out under Markets in… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Clearing, Operational Risk, Ops Automation, Settlement, Blockchain/DLT, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: blockchain, CCP, Central Counterparty, CME, David Clark, derivatives, derivatives clearing, Deutsche Borse, ESMA, European Securities Market Authority Association, European Union, exchange traded derivatives, ICAP, ICE, IntercontinentalExchange, LCH.Clearnet, London Stock Exchange Group, LSEG, Nasdaq, Tabb Group, Tom Lehrkinder, Wholesale Markets Brokers’ Association

European Regulators Clash Over Payouts for Fund Managers

April 8, 2016 by Lynn Strongin Dodds

The European Securities and Markets Authority’s (ESMA) final guidelines on remuneration that are part of the investment vehicle regulations known as the Undertakings for Collective Investments in Transferable Securities, aka UCITs V, was supposed to provide clarity when determining a fund manager’s pay package. However, certain aspects remain unclear, especially when it comes to the… Read More >>

Filed Under: General Interest, Governance, Regulation & Compliance, Industry News Tagged With: AIFMD, Alternative Investment Fund Managers Directive, Capital Requirements Directive (CRD), ESMA, EU, European Banking Authority, european regulation, European Securities and Markets Authority (ESMA), Markets in Financial Instruments Directive, MiFID, PricewaterhouseCoopers, UCITS, Undertakings for Collective Investments in Transferable Securities

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