Wavelength Podcast Episode 118: CAT ‘State of the Union’, RTS 27 & 28 Concerns, The ‘Big Tech’ Dilemma
Anthony and James discuss some of the big stories to come out of TradeTech Europe and then three legal experts look at how the SEC has been quiet about the CAT.
The past two weeks have seen some major announcements that point to fintechs being even more disruptive than in years past.
Bitcoin conquered the world in 2017, but the performance of the futures looks like it will have to wait longer for take-off.
With compliance and collusion both under the microscope, Max says law courts could play a bigger role in ensuring a healthy and competitive data marketplace.
The buy-side venue allows firms to forego share ante in favor of “proactive” policing.
Digital currency exchange sets out criteria for admitting cryptocurrencies to trading.
Exchange giant takes a major step in developing a derivatives market for the controversial commodity.
The wide-ranging project will not be delayed, even if aspects of its data collection change.
While much of the talk about machine-learning technology in capital markets is overblown, there’s no question that these tools are set to become increasingly prevalent over the coming years. Anthony Malakian takes stock of where the industry stands based…
Many US mutual funds are expected to rely on vendor tools to comply with the SEC’s rule that they establish a formal liquidity risk management program that includes classifying the liquidity of their investments. These tools have the potential to improve…
Trades executed on September 5 will now settle on September 7 under new rules.
The long journey to T+2 finally comes to an end on September 5, 20 years after the US financial industry last shortened the settlement cycle.
Investment manager partners with Coinbase to allow digital currency holdings to be represented in portfolio views
Long-awaited ruling shows digital currencies are pushing for institutional-grade market structure
The Consolidated Audit Trail is exactly what the industry needs right now.
Questions remain about whether the current clock drift between exchanges and broker-dealers will allow for accurate data.
Updates include reporting using Form N-PORT and Form N-CEN.
Dan and Anthony debate the difference, or lack thereof, between firms labeled fintechs and regtechs.
Requiring SROs to report data to obsolete platforms is counterintuitive to the entire industry.
The regulator modified several points of the NMS plan prior to approval.
The Commission extends its deadline for a decision to December 21.
The SEC's project to better understand the impact of changing the tick size for securities of small-cap companies kicks off today.
Bank of America subsidiary fined over inadequate trading controls leading to market disruptions between 2012 and 2014.
Calling for a moratorium on regulation in financial services is a bad idea, Dan says.