Regulation & Compliance

IBM Talks CAT Database

Dan DeFrancesco chats to IBM's Ron Lefferts about his firm's role in creating and managing the database underpinning the Consolidated Audit Trail, set to come online in November this year.

Why Can’t the Buy Side Get to Grips with Mifid II?

With nine months left to prepare for the arrival of Mifid II in Europe, John asks why the buy-side community is still struggling to get to grips with how the regulation will impact technology infrastructures and applications.

Will OTFs End OTC Markets?

Aggelos explains that both the European Commission and the European Securities and Markets Authority have been explicit in their communication when it comes to derivatives trading in general and transparency around OTC products in particular, in the run…

The Technology Impacts of Mifid II (Part 2)

In the first article of this three-part series, Richard Bentley looked at the implications of Mifid II for banks’ and brokers’ technology stacks to support their electronic order flow, with specific focus on pre-trade workflows. He now turns his focus to…

A Scary New World for CISOs

“What happens if someone destroys the fabric of the internet, where the whole objective is not to make money but to make the world burn?"

CAT Constructor: Why Thesys Won, Finra Lost and What Comes Next

On January 17, the self-regulatory organizations announced that Thesys Technologies had won the right to build the Consolidated Audit Trail, putting it in charge of what will be one of the biggest financial technology projects in the history of the…

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