SEC
Deep Learning: The Evolution is Here
Advancements in AI have led to new ways for firms to generate alpha and better serve clients. The next great evolution in the space could come in the form of deep learning. WatersTechnology speaks with data scientists at banks, asset managers and vendors…
Mifid II’s Reference Data Problems Drag On
Nearly half a year after Mifid II went live, sticky reference data issues are standing in the way of smooth compliance operations.
Auction System Glitch Led To LSE's Morning Blackout
London bourse's trading delay was the first such disruption in years.
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.
Waters Wavelength Podcast Episode 112: A Look at How Fintechs are Being Disruptive
The past two weeks have seen some major announcements that point to fintechs being even more disruptive than in years past.
Bitcoin Futures Face Turbulent Times in the Windy City
Bitcoin conquered the world in 2017, but the performance of the futures looks like it will have to wait longer for take-off.
February 2018: See You in Court
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.
Luminex Plots New Path with Conditional Order Types
The buy-side venue allows firms to forego share ante in favor of “proactive” policing.
GDAX Releases Framework for New Digital Assets
Digital currency exchange sets out criteria for admitting cryptocurrencies to trading.
CME Brings Bitcoin into Mainstream with Futures Launch
Exchange giant takes a major step in developing a derivatives market for the controversial commodity.
The CAT Is Out of the Bag
The wide-ranging project will not be delayed, even if aspects of its data collection change.
Machine Learning: On the Ground Floor, Ready to Rise
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…
Firms Eye Machine Learning for Liquidity Risk Models
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…
T+2 Settlement Begins in US Markets
Trades executed on September 5 will now settle on September 7 under new rules.
Settling Down: How the US Finally Embraced T+2
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.
Fidelity Continues Digital Currency Experimentation with Coinbase Link
Investment manager partners with Coinbase to allow digital currency holdings to be represented in portfolio views
CFTC Approves LedgerX Bitcoin CCP
Long-awaited ruling shows digital currencies are pushing for institutional-grade market structure
CAT Needed Now More Than Ever
The Consolidated Audit Trail is exactly what the industry needs right now.
Clock Synchronization for CAT Plan Still Lacking, Sources Say
Questions remain about whether the current clock drift between exchanges and broker-dealers will allow for accurate data.
Confluence Adds New Reporting Forms to RegTech Platform
Updates include reporting using Form N-PORT and Form N-CEN.
Waters Wavelength Podcast Episode 44: Fintech vs Regtech
Dan and Anthony debate the difference, or lack thereof, between firms labeled fintechs and regtechs.
Duplicate Reporting Remains Major Issue for CAT Going Forward
Requiring SROs to report data to obsolete platforms is counterintuitive to the entire industry.
SEC Approves CAT Plan, Will Select Firm to Build It Within 2 Months
The regulator modified several points of the NMS plan prior to approval.
SEC Delays Ruling on Chicago Stock Exchange's Speed Bump
The Commission extends its deadline for a decision to December 21.