OTC derivatives, holistic data and standard reporting: a video interview with...
During a recent trip to snowy London, I was fortunate to finally meet Finextra’s Liz Lumley in person. As the multimedia and special projects editor, Liz conducted a brief video interview with me that...
View ArticleOTC Derivatives and the Question of When
It had been a while since I participated in a Twitterview – a real-time interview via Twitter – so I was glad to have the opportunity to join TABB Group’s senior analyst Kevin McPartland in yesterday’s...
View ArticleAwaiting the regulatory flood
The MiFID II consultation period is closed and we now await the legislative proposals. What are the main implications for brokerage firms and their technology planning?
View Article10 trends in OTC derivatives
It is clear that regulatory changes are transforming the OTC derivatives space, from execution to settlement. There are many challenges at play here. As we head into 2012, market participants will need...
View ArticleMaking sense of MiFID 2
Interested parties have now had time to digest the European Commission’s October MiFID 2/MiFIR proposals, and major questions have been raised by a wide range of people. Looking briefly at the main...
View ArticleFragmentation, regulation and globalization drive new demands for compliance...
Compliance is complex and expensive—but not as expensive as non-compliance. Fragmentation, continued regulatory changes, and globalization of regulation are among the top concerns for most securities...
View ArticleRegulatory spotlight: ESMA guidelines on market abuse and surveillance
The passage of the Dodd Frank Act, the Market Abuse Directive (MAD) and MiFID, as well as the newly issued Guideline 2012/122 from the European Securities and Markets Authority (ESMA), which covers...
View ArticleCapital Markets Regulatory Compliance: An Olympian Task
With the London Olympics in full swing, one can’t help but think of the state of our industry and the challenges ahead. When it comes to regulation and compliance for the capital markets, we certainly...
View ArticleIs The World Going MAD?
This blog post was originally published in ISS magazine. The European Securities and Markets Authority (ESMA) recently issued a discussion paper (14 November 2013, ESMA/2013/1649) on the possible...
View ArticleNow or Never for Europe’s Exchanges
A version of this blog post was originally published by Financial Times. European businesses are in a bit of a bind. The euro zone – with the exception of Germany – is depressed, and the continent’s...
View ArticleInvestor Protection: The Next Focus of Automated Compliance and Surveillance...
The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing...
View Article