Regulation
Russia Gets LEI Prefix
The Regulatory Oversight Committee administering legal entity identifiers has issued its sixth "pre-LEI" prefix, for the Russian market
SEF Rule Delays Present Issues and Opportunities
Panelists at the 2013 FIX Protocol Limited (FPL) EMEA Trading Conference in London yesterday said that the delays over finalized rules for Swap Execution Facilities (SEFs) in the US are leading to over development on platforms and an uncertain regional…
ICAP Exec: Europe Can Align OTFs with SEFs
Incoming regulation in the European Union that reforms over-the-counter (OTC) derivatives trading has the opportunity to sync up with analogous US legislation, an executive from interdealer broker ICAP said yesterday at FIX Protocol Limited's 2013 EMEA…
Crawling Before Walking
Moving forward with the idea of coordinating the legal entity identifier (LEI) with other key securities codes first requires tying up some loose ends on LEI implementation
Michael Shashoua: Identification, Linkage and Risk
Efforts to get comprehensive views of reference data, driven by risk management needs and mandates, are taking different shapes. Michael classifies these into the straightforward and the more subtle.
James Rundle: That Golden Touch
The data jungle of modern trading may be confusing, says James, but the UK’s Financial Services Authority is certainly going out with a bang after slamming a complex market manipulation scheme, mirroring wider efforts among national cops to become tech…
March 2013: It Takes a Thief to Catch a Thief
Recent moves by regulators to detect market abuse—including the SEC enlisting an HFT prop trading firm to build a monitoring system—are commendable. Victor argues they should go further and bring in people who have run afoul of regulations at some point…
Finra Taps Citi's Randich as CIO
Former Citi, Nasdaq CIO will lead regulator's technology initiatives.
IRD's Editor on Basel III and Tax Reporting Requirements
Inside Reference Data editor Michael Shashoua asks if it is wise for the European Parliament to tie tax reporting rules to Basel III
Soc Gen Adopts ISO 20022 for Funds in France
Strapline: Regulation & Standards
Basel III Mash-Up?
Will tax reporting requirements be added to Basel III capital adequacy rules, and what is the wisdom or folly of doing so?
IRD's Editor on Linking Identifiers
Inside Reference Data editor Michael Shashoua describes the potential role for the Alacra Authority File in managing LEI data
SIX To Help Firms Comply With Italian Transaction Tax
The data vendor will identify instruments that are in scope for the Italian financial transaction tax and provide the necessary tax information to clients
FSB Lays Out More Regulatory Deadlines To G-20
FSB chairman Mark Carney has told bank regulatory officials of the G-20 countries of new time frames for accounting standards, Basel III implementation stages, insurance company identification and central clearing of derivatives
ICE's NYSE Euronext Acquisition Nears
IntercontinentalExchange's (ICE) proposed takeover of NYSE Euronext drew closer today, following the expiration of the waiting period under the Hart-Scott-Rodino (HSR) Antitrust Improvements Act.
Tough Times Ahead for the Broker-Dealer
Enhanced connectivity requirements, big bank resurgence and regulation all weigh heavy on the broker-dealer landscape.
FIX Protocol Pens Electronic Bonds Trading Best Practices
FIX Protocol (FPL), the industry standards organization for global electronic trading, has released a new set of guidelines for best practices in electronic bonds trading.
Next Step For Identifiers: Spotting Red Flags
Alacra's potential use of its Authority File database to trigger alerts of corporate events that have caused regulatory status changes, could be key to linking identifiers—especially the LEI
Trayport's Davies Blames Regulation for Lack of Exchange Investment
The specter of regulation and its potential to change is preventing exchanges from investing heavily in technology, according to Trayport's James Davies, a panelist at the World Exchange Congress in London on Tuesday.