Regulation
Warrants Issuers Battle Algo Predators in Hong Kong
The threat of high-frequency traders have forced banks to spend big on tech.
Brokers Cry SOS on Rule 606
While the industry has been granted a delay for SEC Rule 606, more guidance is necessary to move forward.
DTCC Sets Testing Schedule for SFTR Services
Third-party partners and clients to begin testing SFTR messaging and connectivity to its Global Trade Repository in two months.
Daiwa Capital Markets Tackles GDPR Using Multi-Layer Encryption Tools
Investment bank is anonymizing data to meet cross-border data protection and cybersecurity regulations.
Could CFTC Bring Back Reg AT?
The CFTC's new chair could reopen the controversial algo-trading rules—if he gets time.
Sifma Adds New Members to Federal Advocacy Team
Jennifer Bang and Amena Ross will be responsible for federal government relations.
To Know or Not to Know: The Battle for Data Privacy
In light of new and proposed rules in the US and Europe, firms are having to rethink their privacy guidelines.
Raising the Standard(s) for Alt Data
With alternative data on every firm’s agenda, Max looks at efforts designed to make it easier to integrate new data sources into investment strategies, and why standards for alternative data represent an important step forward.
Using APIs to Increase Efficiency
FpML has been a key enabler of automation in the derivatives industry, but its value could be further enhanced by providing value-added web services with open connectivity.
Microsoft Sees Trade Finance, Bond Issuance as Ripe for Blockchain Growth
Marc Mercuri of Microsoft explains where the tech giant sees room for blockchain solutions in the future.
Setting the Standard: Derivatives Industry Looks to Machine-Readable Technology
As regulators and industry bodies ramp up efforts to deploy machine-readable models for derivatives reporting, adoption of industry-wide standards has more than a few challenges to overcome.
OpenFin Adds Data Privacy Layer to Operating System
OpenFin has deployed Exate’s data privacy technology to its operating system to help with new rules, such as GDPR.
Heating Up: An In-Depth Look at How Investment Firms Use Carbon Data
As ESG data becomes more of a commodity, firms are struggling with how best to incorporate carbon data.
ISDA Deploys Reporting Blueprint for Derivatives Markets
ISDA's Common Domain Model (CDM. 2.0) aims to standarize regulatory reporting and bring greater automation to derivatives trading.
Be Like Water
Flexibility is key when navigating the Chinese water, says Wei-Shen Wong.
SFTR Preparations Stifled by Data Availability
While the initial go-live date of SFTR is set for early 2020, data availability and legacy processes remain the leading roadblocks.
Fund Houses Get Picky Over Where to Use Machine Learning
Buy-siders have limited their usage of deep learning techniques due to haziness over their inner workings.
Industry Participants Differ on Blockchain Benefits
As some firms are pushing forward with blockchain projects, others are saying it's not yet ready for prime time.
Institutional Crypto Faces Prospect of a Nuclear Winter
While digital currency prices endure what enthusiasts call a ‘crypto winter,’ the problem appears to be far more acute when it comes to institutional appetites. James Rundle and Rebecca Natale report.
IIROC Melds Equities, Debt Surveillance on Nasdaq Smarts Platform
IIROC has used Nasdaq Smarts for market surveillance since 2010, but is consolidating equities and debt market surveillance for the first time.
IHS Markit Debuts Client Onboarding Tool
The Onboarding Accelerator offers a dashboard tool to automate manual client-addition processes.
CAT Rollout Moves Forward Following Processor Change
Finra and the SEC are working on identifiers that mask personally identifiable information.
Industry Steps Up Calls for European Consolidated Tape
Traders in Europe face rising data acquisition costs and increasing regulatory reporting pressures argue that a pan-European consolidated tape is long overdue.
Growing Sanctions Complexity Causes Headaches for Traders
As more sanctions are issued, and become more complicated, firms find greater need for a monitoring service.