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Feature

KYC: Know Your Choices

Know-your-customer (KYC) requirements, hardly a bank’s most value-added function, have become a popular topic among operations, compliance, and reference...

Waters | Feature | Industry Issues & Initiatives | 23 Oct 2014

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Bond Trading Resists Electronification, But for How Long?

The bond market is the last bastion of Wall Street to resist electronification, despite the success of certain e-trading platforms like MarketAxess, Tradeweb and Bloomberg. Many buy-side traders have warned that the current market structure is not suited...

Waters | Feature | Industry Issues & Initiatives | 22 Oct 2014

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CAT Conundrum: SROs, Vendors Vie to Build Consolidated Audit Trail

In 2012, the US Securities and Exchange Commission passed Rule 613, requesting the industry to develop a plan to build and run a platform capable of tracking and storing information on every order, cancellation, modification and trade execution for exchange-listed...

Waters | Feature | Industry Issues & Initiatives | 14 Oct 2014

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China Opens Up Capital Markets with Hong Kong Connection

With the impending launch of the Shanghai–Hong Kong Stock Connect program, China has begun allowing foreign investment into its capital markets to an unprecedented degree. But what does this mean for institutional investment firms, and are there still...

Waters | Feature | Industry Issues & Initiatives | 10 Oct 2014

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LEI Benefits Emerge As Implementation Progresses

The legal entity identifier (LEI) initiative is gaining strength with recognizable data quality benefits, greater awareness and participation, and more complete standards guidelines. Michael Shashoua reports on how all these developments are coming together...

Inside Reference Data | Feature | Regulation & Standards | 09 Oct 2014

Amy Harkins BNY Mellon

Are Firms Ready for Fatca 2.0?

Financial institutions who have prepared to comply with the Foreign Account Tax Compliance Act (Fatca) still must ensure they are remaining flexible to deal with the Fatca-inspired automatic exchange of financial information between countries. Joanna...

Inside Reference Data | Feature | Regulation & Standards | 09 Oct 2014

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Guggenheim's Joseph Lodato Pulls Tech, Compliance Together

Anthony Malakian sits down with Joseph Lodato, chief compliance officer at Guggenheim Securities, to discuss the need for compliance and technology to work together in the current regulatory environment. Photos by Timothy Fadek

Waters | Feature | People | 29 Sep 2014

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Slow Burn: SEFs Make Small Gains as US Market Adjusts to Electronic Trading

In February, it became mandatory to execute certain swap contracts on electronic platforms, introducing what should have been wholesale change to the way that trading operates in the derivatives market. Half a year on, though, evidence of a revolution...

Waters | Feature | Regulation & Standards | 22 Sep 2014

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Unique Boutiques: Smaller Hedge Funds Demand Bespoke Tech

Boutique hedge funds are prime targets for third-party technology providers, but they have also become more complicated to win and to service, in part because their back-stories—and clients’ demands—are more diverse than ever. Tim Bourgaize Murray...

Waters | Feature | Buy-Side Operations | 19 Sep 2014

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T+2: Catalyst for Change

The move to a shortened settlement period from three days to two, commonly referred to as T+2, is set to shake up the European buy-side community when it comes into force on October 6. Marina Daras looks at the impact T+2 could have on transaction processing...

Waters | Feature | Industry Issues & Initiatives | 17 Sep 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...

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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....