Regulation
DTCC Debuts ‘Same Day’ LEIs
Issuer anticipates demand for one-day delivery of Legal Entity Identifiers after Mifid II comes into force.
Peeling Back European Regulations in 2018: What to Expect Next Year
Waters runs through the key facts you need to know about Mifid II, GDPR, BMR and Brexit.
House Prepares Bill Delaying CAT amid Ongoing Difficulties
Thesys, in a hearing at a Congressional committee, also said it has lined up over 20 candidates for a chief information security officer post.
CFTC Warns on Bitcoin Futures as Exchanges Ready Contracts
Market participants express concern over potential risks these contracts could pose to clearinghouses, as exchanges self-certify contracts for trading.
Waters Wavelength Podcast Episode 98: A Focus on Asia, Rolet Out at LSEG, Nasdaq's Bitcoin Futures
Wei-Shen Wong joins the podcast to discuss some of the major trends affecting the APAC marketplace. They also examine Xavier Rolet's leave and Nasdaq's bitcoin futures play.
Mifid's Architect: Esma Chair Steven Maijoor
Europe’s top markets cop talks to Waters about Mifid II and III, Brexit, no-action letters, clearinghouses and the regulator’s future.
Esma: Mifid III Not in the Works
Third phase of regulatory reform is not being actively considered at this point, insists regulator’s chairman.
Asset Control Integrates with Thomson Reuters’ DataScope Plus
Asset Control’s DataScope Plus loader will deliver reference and pricing data fields to Thomson Reuters’ reference data solution.
Nex Gains Esma Approval for Post-Brexit Trade Repository
Nex Regulatory Reporting will run an EMIR trade repository in Stockholm, as derivatives markets in Europe prepare for the post-Brexit era.
AMF Appoints Moad Fahmi to Spearhead Fintech, Innovation
Regulatory body for Québec financial markets appoints new lead for fintech and innovation programs.
Waters Wavelength Podcast Episode 97: C-Level Execs Talk Bitcoin, Fintechs, Cognitive Computing & Open-Source Tech
In separate interviews, executives from AQR, JPMorgan, Cboe and IBM discuss topics permeating the capital markets.
Thomson Reuters Unveils APA Solution for Mifid II
APA Connectivity is a new solution from Thomson Reuters designed to help firms comply with Mifid II trade reporting requirements.
EU Gets Tough on ‘Research’ Unbundling
Mifid II will force sell-side firms to unbundle research fees from dealing commissions they charge to buy-side clients. The banks claim their front-office notes meet the criteria of being a minor non-monetary benefit, but EU watchdogs aren’t convinced,…
Cognitive Computing Advances Driving Surveillance for Banks, Expectations for Regulators
Banks are increasingly adopting new machine learning techniques for compliance and surveillance, but should be wary of setting expectations too high.
Systematic Internalizer Ranks Swell Ahead of Mifid II
While buy- and sell-side firms grapple with the reporting obligations imposed on so-called systematic internalizers under Mifid II, the number of registered SIs continues to grow. Jamie Hyman investigates why more firms are opting in to the designation…
Waters Wavelength Podcast Episode 96: CAT Concerns & Big Tech Takes Aim at Asset Managers
Anthony and James look at developments pertaining to the Consolidated Audit Trail and wonder if big-tech companies could challenge traditional asset managers.
ANNA DSB Urges Firms to Begin OTC ISIN Onboarding ASAP
ANNA’s DSB went into production on October 2. But it may be a race against time to onboard those users who require real-time API connectivity in time for Mifid II’s go-live date of January 3.
Out with the Old: Australia’s APRA Takes Aim at EFS Data
The Australian Prudential Regulation Authority is overhauling its core regulatory reporting requirements, which includes the modernization of the Economic and Financial Statistics data submissions required from Australian banks and various other…
Industry Tight-Lipped on CAT Status as Deadline Hits
Participants refuse to say whether reporting will begin as scheduled after a last-ditch delay effort was rejected by the SEC.
Vela Introduces SI Data Hub
Technology provider expands Mifid II offering with launch of systematic internalizer data hub.
Thomson Reuters Unveils Mifid II Reference Data Suite
Thomson Reuters has enhanced the reference data tools on its DataScope platform with the aim of helping clients' Mifid II compliance efforts.
UnaVista and MTS Collaborate on SFTR Reporting Solution
London Stock Exchange subsidiaries join forces for regulatory reporting tool ahead of SFTR.
CFTC Examining SEF Reform amid Europe Clearing Row
Chairman criticizes European Commission proposals for clearinghouse oversight.
NEX Regulatory Reporting Pushes for SFTR Trade Repository Status
London-based NEX Regulatory Reporting plans to become an SFTR trade repository ahead of a dedicated reporting solution.