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Commodity Futures Trading Commission

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CFTC's Commissioner O'Malia to Resign Next Month

US Commodity Futures Trading Commission (CFTC) commissioner, Scott O'Malia, has announced in a letter addressed to President Barack Obama that he will...

Sell-Side Technology | News | People | 22 Jul 2014

Scott O'Malia

Former CFTC General Counsel: US Swaps Reform a Mixed Bag of Outcomes

Terry Arbit, former deputy general counsel for legislative and intergovernmental affairs at the Commodity Futures Trading Commission (CFTC) and now partner at Norton Rose Fulbright, gave attendees at this morning's Waters Breakfast Briefing a first-hand...

Buy-Side Technology | Analysis | Compliance | 10 Jun 2014


Virtues of Consistency

Philosophers and authors may dismiss consistency as an overrated refuge for unimaginative minds, but when it comes to industrial strength data quality efforts, it proves to be a necessity.

Inside Reference Data | Opinion | Data Management | 10 Apr 2014


CFTC Opens Discussions on Standard Structure for Global UTI

The US Commodity Futures Trading Commission has begun speaking to other regulators about the possibility of creating a standard structure for a global unique transaction identifier

Inside Reference Data | News | Regulation & Standards | 26 Mar 2014

Scott O'Malia

O'Malia Outlines How CFTC Can Tackle its Data Difficulties

Commodity Futures Trading Commission's Scott O'Malia says regulator must improve swaps data quality, and develop automated surveillance and risk analytics tools

Inside Reference Data | News | Regulation & Standards | 26 Mar 2014


Trade Identifier Tangle

Unique trade identifiers have quickly emerged as the most complicated element of the European Market Infrastructure Regulation’s trade reporting requirements, which came into effect on February 12. Nicholas Hamilton finds out why using the new identifier...

Inside Reference Data | Feature | Regulation & Standards | 05 Mar 2014


Europe Takes First Steps Toward Electronic Derivatives Trading

With provisional agreement on the Mifid II text by European political authorities, electronic execution of derivatives is set to spread over the Atlantic Ocean in the near future. In terms of equivalence, interoperability, and mutual recognition, how...

Waters | Feature | Regulation & Standards | 07 Feb 2014


Derivatives Trading Firms Weigh Audio Recording Approaches

Thanks to the latest Dodd–Frank provision in which derivatives transactions will be more closely monitored, many US traders will now have their conversations recorded. Jake Thomases investigates how that recording will be done and what will happen to...

Waters | Feature | Regulation & Standards | 21 Jan 2014


Compliance Officers, I Feel Your Transcription Pain

As firms in the US gear up for Commodity Futures Trading Commission’s (CFTC’s) communications recording rule 1.35(a), Anthony understands the headaches involved in converting voice recordings to text.

Buy-Side Technology | Opinion | Compliance | 17 Jan 2014


License to Kill: The Complexity of Circuit Breakers

As regulators collaborate to review different concepts to protect the integrity of the US financial markets and reduce potential technology failures, Marina Daras looks at the technical challenges of implementing circuit breakers for brokers and exchanges....

Waters | Feature | Exchange Technologies | 08 Jan 2014

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Tackling Teething Troubles: Examining the Current State of the OTC Derivatives Market

The over-the-counter (OTC) derivatives market is in the midst of a global regulatory restructure. Authorities in Europe, Asia and the US are currently...


A data-centric approach to portfolio management

A fast, flexible and reliable investment decision-making process must be based on access to accurate and consistent information throughout an organization....