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Analysis

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UK Chancellor Promises FX Market Review, Benchmark Oversight

George Osborne MP, the UK Chancellor of the Exchequer, has instigated a wholesale review of how foreign-exchange (FX) markets in the UK are regulated,...

Sell-Side Technology | Analysis | Regulation & Standards | 13 Jun 2014

George Osborne
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FCA Chief Highlights Struggle against “Dystopian” Tech Scenario

Martin Wheatley, chief executive of the UK Financial Conduct Authority (FCA), has said that the role of regulators in the modern world is to strike a balance between realizing the benefits of market technology, while not allowing it to run amok.

Sell-Side Technology | Analysis | High Frequency Trading | 11 Jun 2014

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Principles In Action

Basel III and its related BCBS 239 risk reporting principles have increased attention to risk data aggregation. Richard Petti, CEO of Asset Control elaborates on some of the BCBS 239 principles and offers advice

Inside Reference Data | Analysis | Regulation & Standards | 11 Jun 2014

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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

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Esma Opens Consultation on Mifid II, Refines HFT Scope

The European Securities and Markets Authority (Esma) has opened its consultation on the review of the Markets in Financial Instruments Directive (Mifid II) and Regulation (Mifir), the two most important pieces of legislation issued by European authorities...

Sell-Side Technology | Analysis | Regulation & Standards | 27 May 2014

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Esma Opens Consultation on Mifid II, Refines HFT Scope

The European Securities and Markets Authority (Esma) has opened its consultation on the review of the Markets in Financial Instruments Directive (Mifid II) and Regulation (Mifir), the two most important pieces of legislation issued by European authorities...

Buy-Side Technology | Analysis | Regulation & Standards | 23 May 2014

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Delegated Reporting not a Silver Bullet for the Buy Side

While delegated reporting for derivative transactions can ease some of the strain on buy-side firms, the onus is still firmly on them to ensure the accuracy of what’s being reported on their behalf, and this can be difficult to determine, senior executives...

Buy-Side Technology | Analysis | Compliance | 22 May 2014

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FCA Expresses Concern over System Readiness for EMIR Compliance

While market participants continue to struggle with requirements of the European Market Infrastructure Regulation (EMIR), some relief has come from the UK Financial Conduct Authority (FCA). With that, though, is also a warning shot about having systems...

Buy-Side Technology | Analysis | Compliance | 20 May 2014

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SEC's Berman: Let Data Allay Investors' Fears, Drive Test Pilots

Gregg Berman, associate director of the Securities and Exchange Commission’s (SEC’s) office of analytics and research (OAR), told an audience at the annual Options Industry Conference in Austin, Texas, that while distinct from the major technology...

Sell-Side Technology | Analysis | Regulation & Standards | 05 May 2014

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GSO Capital Partners Turns to SS&C for Form PF Filings

GSO Capital Partners only began outsourcing its regulatory filings once Form PF came around. The performance of SS&C GlobeOp in handling that filing may prod GSO to hand over others.

Buy-Side Technology | Analysis | Compliance | 02 May 2014

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

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