Regulation
Regulation & Standards Webcast
Inside Reference Data gathered leading industry experts to discuss the latest market developments in relation to regulation and standards in a webcast on 30 May
Bribery Meets Its Match: Technology, Regulation Combat Corruption
No longer a “cost of doing business,” bribery and corruption on UK soil—or perpetrated through a UK-based firm anywhere in the world—have become serious offenses under sweeping legislation passed last year. Tim Bourgaize Murray finds, with authorities…
Short Circuit: Does Flash Crash II Still Loom?
Two years after the Flash Crash, an event of similar proportions has yet to occur, despite doomsday prophecies to the contrary. Have measures such as circuit-breakers helped to safeguard the stability of modern capital markets, and more importantly, have…
Windows on Derivatives
Strapline: Industry Warehouse
LEI Makes Progress, But Administration Questions Linger
The approval of the ISO standard for the LEI moved much faster than most ISO standards, say industry observers, but the FSB still has to issue some decisions on who will administer the LEI
Michael Shashoua: Stability Board See-Saw
The ISO standards organization, at the behest of the Financial Stability Board, removed Swift as the registration authority for the legal entity identifier. Michael thinks the industry may be left wondering what the board intends to do in setting a…
Anthony Malakian: Hope in One Hand ...
Even as the first wave of requirements for Form PF rules approach, Anthony wonders if it makes any sense for buy-side firms to throw money at solving regulatory demands in an election year when so many rules have already been delayed or scrapped.
Max Bowie: Speed Is Nothing Without Control
With the Sifma technology show upon us, vendors are showcasing their wares—often with a focus on speed and throughput. But in a regulatory environment placing greater emphasis on risk checks and compliance, firms are also expecting these solutions to…
Fatca Preparedness Remains Low, Survey Finds
Strapline: Regulation & Standards
ISITC Regulation Group Focuses on LEI
Strapline: Regulation & Standards
SEC Modifies 'Flash Crash' Circuit Breaker Rules
Revisions to limit-up–limit-down and circuit breaker parameters will simplify but intensify requirements for exchanges and other trading venues.
Playing Gotcha With LEI
A week full of decision-making on LEI puts the ball back in the US CFTC's court
LEI Portal Launch Postponed
Strapline: Regulation & Standards
Ontologies Gain Importance
Strapline: Regulation & Standards
FSB Approves ISO LEI Standard
Strapline: Regulation & Standards
Innovation Returns to the Market Data Space, Even as Challenges Persist
The IMD team discusses the key takeaways from this year's North American Financial Information Summit.
Instability Board
The question on many people's minds in the financial industry is what the Financial Stability Board intends for the LEI standard, following its removal of Swift as registration authority
Regulatory Changes Challenge Larger Energy Trading Firms
According to Sapient Global Markets' Arun Karur, several sweeping regulations have forced firms to reexamine their energy risk management tools as they look to consolidate their middle and back offices.
HFT a 'Whipping Boy' of Legislators
Keynote address at the Buy-Side Technology European Summit decries 'insensitive' regulatory approach.
State of the Regulated: CFTC ‘Hopeful' About Finalizing a Torrent of Rules, Definitions
These yet-to-be-finalized rules—which include the definition of a swap—will provide both clarity and controversy as financial institutions work to comply with the regulations and implement new systems and platforms. And the CFTC is not done yet making…
New Trading Surveillance Offering from Kinetic-Redkite Alliance
The partnership will help firms respond to regulatory pressure to adopt automated, real-time trade monitoring and surveillance practices.
New CCP Standards Seen as More Easily Enforceable
After speaking with William Dudley, president and CEO of the Federal Reserve Bank of New York, Mark Pengelly joins Channel WatersTechnology to talk about his findings.