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Dodd-Frank Wall Street Reform Act

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Scotiabank Chooses Fenergo Onboarding System

The client data software provider's onboarding system uses a rules-driven process to classify Scotiabank clients affected by European Market Infrastructure Regulation, the US Dodd-Frank Act and the Foreign Account Tax Compliance Act

Inside Reference Data | News | Regulation & Standards | 18 Feb 2014

darren-marsh-six

SIX Chooses Avox to Map LEIs to Securities Database

A new partnership between the two data vendors means SIX will be able to provide entity-level data to its clients, based on instrument-level requests

Inside Reference Data | News | Regulation & Standards | 27 Jan 2014

headphones-recording-watersfeb2014

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

max-bowie

Opening Cross: Thinking About Turning Over a New Leaf in 2014?

According to the University of Scranton’s Journal of Clinical Psychology (via StatisticBrain.com), only eight percent of people who make New Year’s resolutions actually achieve them. Chances are your New Year’s resolutions include joining a gym,...

Inside Market Data | Opinion | Industry Issues & Initiatives | 10 Jan 2014

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As the OTC Marketplace Evolves, More SEFs May Rise

Equinix's Barry Smith discusses the trends he expects to see in the OTC markets in 2014 and beyond.

Buy-Side Technology | Analysis | Regulation & Standards | 09 Jan 2014

supurna-vedbrat

Collateral Transformation, Agency Execution to Reinforce Swap Dealers' 'Stickiness'

As the buy side ramps up simulation of electronic swaps execution ahead of next year, panelists say old questions remain about what sell-side services will gain steam, and which are technologically feasible at all.

Sell-Side Technology | Analysis | Risk Management | 11 Dec 2013

neill-vanlint

Mizuho Chooses GoldenSource for Data Quality, Regulatory Compliance

Mizuho International will use GoldenSource's enterprise data management platform to help it comply with regulations such as the European Market Infrastructure Regulation by improving data quality and transparency

Inside Reference Data | News | Data Management | 10 Dec 2013

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OpenGamma Debuts Margining Platform

Risk management technology and analytics provider OpenGamma has launched the Platform for Margining, a new platform to address margining requirements related to new over-the-counter (OTC) market structure changes being pushed through in the US through...

Sell-Side Technology | News | Regulation & Standards | 21 Nov 2013

robert-powell-etrali

Open Platform: Compliance Challenges for Communications

The ways in which we all communicate have changed. The fixed-line telephone call is almost a thing of the past, with mobile and electronic communication having seen to that. Regulators have recognized this, and have told firms that they need to be recording...

Sell-Side Technology | Opinion | Compliance | 28 Oct 2013

New York

CFTC Approves Tullett Prebon’s SEF Status

The US Commodity Futures Trading Commission (CFTC) has granted interdealer broker Tullett Prebon temporary registration to operate as a swap execution facility (SEF).

Sell-Side Technology | News | Regulation & Standards | 26 Sep 2013

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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...

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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....