Derivatives Trading Firms Weigh Audio Recording Approaches

On Dec. 21, the US Commodity Futures Trading Commission (CFTC) put Rule 1.35(a) into effect, mandating that firms trading in commodity interests, including commodity futures contracts, commodity options, swaps and foreign-exchange (FX) contracts, have to keep records of all communications pertaining to those transactions. Those records, which must be retained for one year, cannot be crammed haphazardly into a dusty server, but should be kept “in a form and manner identifiable and searchable by

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FCA declines to directly regulate market data prices

A year-long investigation by the UK regulator to determine whether competition is hindered in the wholesale data markets has concluded with its decision not to directly regulate much-maligned data pricing and licensing structures.

How GenAI could improve T+1 settlement

As well as reducing settlement failures, researchers believe generative AI can provide investment managers with improved research, prioritization, and allocation resources.

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