Regulation
Waters Wavelength Podcast: SteelEye’s Matt Smith on eComms surveillance
SteelEye CEO Matt Smith talks on the podcast about the regulatory landscape for electronic and voice communications compliance.
Waters Wrap: For data managers, the new problems are the same as the old
While much attention has been given to cloud, AI, blockchain and other buzzwords, without a proper data foundation, those tools will not deliver the results that have been promised.
Industry participants: ‘Digital Token Identifier’ aims to increase interop, usage
While some trading firms are welcoming the use of a new non-proprietary code for identifying digital tokens, the onus will be on local regulators to enforce its adoption.
Financial firms rethink after cyber insurance premium spike
Brokers say there are signs pressure is easing, but quantum hacking threat could transform market
The year identifiers wanted some attention too
Cusip! Figi! Isin! BTC! LEI! Taylor Swift? How did we get here and where do we go now?
Consolidated tapes gain ground in 2022
Regulators in the US, UK, and EU moved to push forward market data efforts this year.
Lessons from credit: Could all-to-all help Treasury markets?
Regulators are looking to all-to-all trading as a possible solution for worrying volatility and deteriorating liquidity in US Treasury markets.
Banks express concern over top venues’ bid for EU consolidated tape
End-users are worried about the repercussions of handing over a data monopoly to the heavyweight operators in the fixed income space.
Reg SCI expansion set to increase broker-dealer systems scrutiny, reporting
The SEC is preparing to drastically expand the scope of Regulation SCI, which covers IT systems critical to the smooth functioning of the markets. But in the absence of formal proposals so far from the regulator, how can affected firms prepare for new…
Anna on track for Isin review deadline
The registrar of the barcode for financial instruments has adapted its systems to reflect the updated standard, ahead of February 2023.
FTX failure resets US crypto legislative program
Lawmakers expected to seek stronger customer protection; industry wants flexibility for DeFi
Regulated firms warn against crypto market lockout
Onshore participants urge regulators to bring cryptocurrency trading out of the ‘shadows’
Industry mulls identifier schema for digital assets
As crypto markets face a reckoning in the wake of the FTX scandal, standard-setters and industry participants say identifiers for tokens are key for the industry’s stability.
Podcast: Leveraging real-time data feeds for faster business decisions
The markets have been on a very volatile ride in 2022, which makes low-latency data more crucial to the business.
Bloomberg, MarketAxess, Tradeweb probe three tech partners for consolidated tape bid
Venue-led consortium plans to pick a winner before EU regulators begin tender process – anticipated in third or fourth quarter of 2023.
Regulation of fixed income faces pivotal year ahead
Jo says the SEC’s Treasuries-focused regulatory agenda will come to fruition next year, and tech vendors will face the burden of those proposals.
Howson on steering Cboe past potholes and traffic cops
The head of the world’s largest options exchange discusses SEC regulation and SPX appeal.
Fees rise and questions linger as Esma ramps up analytics capabilities
The EU regulator’s expanded supervisory powers and big data capabilities have caused some confusion on how the data will be used and how Esma’s new role will shape reporting regimes.
EU Regulator: Incoming rules will arm financial institutions to negotiate cloud contracts
While the new rules will eat into financial services resources, regulators say they will also offer safeguards for managing cloud agreements.
A Fireside Chat with CompatibL's Alexander Sokol
Alexander Sokol discusses pricing and risk models for interest rate derivatives and how incumbent models can be improved.
Is disruption finally coming for the index business?
Regulatory developments and startups gaining some ground may—one day—threaten the incumbent providers in this space.
More trading venues face extra supervision under FCA plan
“Woolly” rules fuel concern that bulletin boards and tech providers could be swept in
UK divergence on trading venue perimeter threatens more costs and a complex compliance landscape
The FCA is in the middle of a tug of war over the definition of a trading venue. Will it diverge in a bid to present itself as a competitive market internationally or align with its EU partners?
SEC deadline raises existential questions for US market data
This month, the commission must decide on a fee filing under its market data modernization efforts. Jo wonders how likely we are to see those efforts materialize any time soon.