Regulation

Articles

17 Apr 2018 — Akber Datoo

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

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16 Mar 2018 — Lloyd Altman

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.

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Brunnhilde
29 Jan 2018 — John Philpott

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.

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11 Dec 2017 — Ricky Maloney

With all eyes on the impending introduction of the complex web of joy that is MIFID II, another less discussed regulation is fast approaching and this article seeks to highlight just what that regulation is, who it impacts and how.

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SFTR Breakfast Briefing
08 Dec 2017 — David Field

https://thefieldeffect.co.uk/white-papers/sftr-navigating-challenge/This is the second in a series of whitepapers where The Field Effect reviews the impacts of the Securities Finance Transaction Regulation (SFTR). This second 24 page white-paper covers in detail the Regulatory overview and business impacts, Changing your operating model and Next steps.

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04 Dec 2017 — Robin Poynder

Whilst everyone talks quickly about the future impact of MiFID II, there is a more immediate impact for UK-based firms given the FCA focus on remediation, following their thematic review of asset managers. The FCA has made it increasingly clear in a series of industry engagements, from the thematic review in 2014, to the Press Release in March this year, that firms are not taking sufficient action to ensure their clients receive best execution.There is a particular focus on the OTC Fixed Income, Currency and Commodity markets. MiFID itself then adds to the complexity and the devil, as always, is in the detail.

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SFTR Breakfast Briefing
04 Dec 2017 — David Field

In case you missed it - the SFTR Breakfast Briefing is coming up on Wednesday morning with The Field Effect, Equilend and Trax.

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29 Nov 2017 — Bill Hodgson

An update from the ESAs on their intention to amend the European rules for margin on FX

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27 Nov 2017 — Michael Wellenbeck

In our complex, interlinked world with increasing political uncertainty, prediction models are required to answer the question “What happens next” and to allow for the definition of suitable strategies.

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24 Nov 2017 — Lloyd Altman

In this interview we hear from Michael Bergfort, employed by a global bank, his views on the past and future of compliance. We also hear Michael's three professional wishes about the market, and how technology could help compliance.

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20 Nov 2017 — Bill Hodgson

Read about the impacts of SFTR (trade reporting for the fixed income market), and the resources needed to comply.

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20 Nov 2017 — Peter Ten-Broeke

On 4 May 2017, the European Commission published its legislative proposal for the long-awaited review of Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (‘EMIR’).

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