EMIR 2 Progress at the European Parliament

The European Parliament votes to move forward with changes to EMIR

Navigating the Scylla & Charybdis of Open Banking & Data Protection

2018 sees the introduction of two major pieces of regulation that lay important foundations for a better and brighter data-centric digital economy.

ISDA Brexit FAQs

These FAQs address the possible UK position post-Brexit, i.e. after the conclusion of the exit process under Article 50 of the Lisbon Treaty.

SFTR Webinar Video: Reporting comes out of the shadows

SFTR will creep up on firms by 2019, join us to get ahead of the game and hear perspectives from every angle. We have Paul Bradford, Head of Stock Loan and Repo trading at ING who will provide views on the effect of SFTR on the trading desk. Fabian Klar from REGIS-TR will explain their plans, and compare SFTR to other reporting regulations. Simon Davies will paint a picture of what an SFTR compliance plan should look like, and how long you need to be ready. Mark Steadman will update us on the Deriv/SERV plans and how SFTR will impact other streams of reporting. Alan McIntyre will contrast implementing SFTR with previous projects, and explain where re-use of previous infrastructure can be made. Other areas for discussion include changes to business processes, reconciliation requirements, data volumes, data formats, delegated reporting, the quality of the actual regulatory text, and your counterparties involvement.

SFTR Shorts, Part 3

SFTR Shorts, Part 1

The Field Effect attended Broadridge’s ‘Take Control of Your SFTR Compliance’ seminar last week

The Field Effect attended Broadridge’s ‘Take Control of Your SFTR Compliance’ seminar last week where it was great hear how firms are preparing for their SFTR readiness, along with making new acquaintances. It was interesting to hear the views of the operational impact of SFTR and how the market can learn from implementation challenges relating to the recent MIFID 2 regulation.

The Volker Rule

An exploration of the potential modifications the OCC will make to the Volker Rule to reduce the burden on banks whilst still serving its original purpose. Actions may include:

  • Simplifying the Definition of Proprietary Trading
  • Reducing the Burden of Volcker Whilst Hedging Business Risks
  • Reducing the Burden of Compliance
  • Improving Regulatory Coordination
  • Providing Increased Flexibility for Market-Making
  • And more

Click below to read the full article.

The Year Ahead in Regulatory Reporting

New year, New Regulations, New Challenges

Regulatory Year Ahead

It Ain’t Over Till The Fat Lady Sings (Part 2) The Securities Financing Transactions Regulation (SFTR)


SFTR was published in the Official Journal back in 2015 and we’ve already gone live with the Article 15 ‘transparency of reuse’ requirements in 2016, as well as the Article 13 and 14 ‘transparency requirements’ for collective investment undertakings in 2017.