Regulatory Reporting Archives

Revolutionizing Financial & Regulatory Compliance Reconciliation

Webinar Presented by EPAM & BroadPeak “Revolutionizing Financial & Regulatory Compliance Reconciliation: Introducing ‘K3 Reconciliation’” Join EPAM and BroadPeak for a FREE webinar introducing ‘K3 Reconciliation‘, a revolutionary solution for financial and regulatory compliance. Learn about the new derivatives trade reporting obligations in Europe under EMIR REFIT, with ESMA. Gain insights into EMIR REFIT’s complexities, […]

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Compliance, Regulatory Reporting, Trade Reconciliation

How K3 Became the Gold Standard in Calculating Exchange Position Limits

In today’s rapidly evolving regulatory landscape, many asset managers struggle keeping track of their compliance status. With regulations and trading parameters becoming ever more complex, ensuring compliance can be a challenging endeavor. Enter K3 Limits – the revolutionary tool that has quickly become the industry standard in calculating exchange position limits. Consider the recent incident

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Position Limits, Regulatory Reporting

Graphic for Pragmatic Commodity Surveillance Webinar with four panelists

Pragmatic Commodity Surveillance in Unprecedented Times

Pragmatic Commodity Surveillance in Unprecedented Times: Online Panel Discussion and Webinar Watch the replay of our recent Webinar moderated by Gordon Allott featuring an expert panel: Summer K. MersingerCommissioner, CFTC Frank HaydenVP, Trading Compliance, Calpine Roger TanCretiRegional Head of Compliance, Gunvor USA Patrick SwartzerDirector – ICE Futures U.S. Market Regulation

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Regulatory Reporting, Trade Surveillance

So boring…we read it so you don’t have to

IOSCO. Who are they? Remember when the G20 got together post financial crisis and agreed to implement things like Dodd-Frank, EMIR, MiFID, MAS etc? Well, this is the group who monitors how it’s all going. Kind of the pantheon of the global financial regulators. International Organization of Securities Commissions (IOSCO). Here is the LINK. Recap

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Regulatory Reporting

Here’s what you need to know for the CFTC Rewrite for Dec 5, 2022

Dodd-Frank lives on! Ten years ago, the original Dodd-Frank trade reporting rules centered around just getting data over to a trade repository. It was a trade cleanup of epic proportions for many firms, however it wasn’t prescriptive in terms of fields required. Depending on the trade repository (TR) you chose, required fields differed enough that

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Regulatory Reporting

This is Probably a Final Warning

On June 10, 2022, the CFTC Division of Data (“Division of Data”) released a Staff Advisory (Letter No. 22-06) entitled “Reporting of Errors and Omissions in Previously Reported Data.” The Division of Data seeks to address the high volume of bilateral swaps incorrectly denoted as live when in fact they are cancelled. The Takeaway: “Continuation Data” is squarely on the

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Regulatory Reporting

The Trade Repository Landscape Takes Another Hit

UnaVista LSEG announced that they are halting operations for SFTR reporting. This means that SFTR reporting customers will have to on-board with another trade repository (TR). This is another major blow to the trade repository landscape. CME decided to leave the UK and EU landscape entirely in 2020. And it was not for lack of

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Regulatory Reporting

Fortune 500 Agricultural Firm Meets Regulatory Deadlines With Ease

Industry: Agriculture
Product: BroadPeak’s K3 Platform
Purpose: Unify trade data from disparate sources for regulatory compliance.

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Agriculture, Regulatory Reporting

Top 5 Energy Merchant Utilizes BroadPeak’s Compliance Tech For Optimal Risk Management

Industry: Energy and Commodity
Product: BroadPeak’s K3 Data Integration platform, Position Limits module, Regulatory Reporting module
Purpose: The clients was seeking for a scalable and reliable solution to achieve compliance with various regulatory requirements.

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Commodity Trading, Data Integration, Position Limits, Regulatory Reporting

The Surveillance Catch-22

The Data and Surveillance conversation you need to have with your CFO. There’s always so much “market cop” action in financial services. Here. Here. Here. Etc. The road signs are clear: we are moving out of a nascent compliance market into one reaching maturity. Many internal surveillance conversations have unfolded over the last few years.

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Regulatory Reporting, Trade Surveillance

Global Oil Giant Stabilizes Risk Management Capabilities Using BroadPeak’s K3

Industry: Oil
Product: BroadPeak’s K3 Data Integration platform, Position Limits module, Regulatory Reporting module
Purpose: A solution for regulatory reporting, offering plug-and-play trade data transformation and sending.

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Data Integration, Oil and Gas, Position Limits, Regulatory Reporting

All About Exchange Connectivity

All About Exchange Connectivity If your business struggles with getting trades into your trading system, you are not alone. We see this a lot. Exchange connectivity is just one of those things loaded with nuance. So, if you have problems with your current setup, or your IT team is planning on building themselves here’s what

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Exchange Connectivity, Regulatory Reporting

Mercuria Selects K3 Middleware for Global Compliance and Integration

K3 middleware to be a centerpiece of Mercuria’s integrated architecture. BroadPeak Partners, the company behind K3, is pleased to announce that Mercuria Energy Group (“Mercuria”) will be using the K3 middware integration solution to further enhance its global reporting and surveillance programs. K3 supports regulatory reporting with, rules and validations across 4 continents and fulfills

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Regulatory Reporting, Trade Surveillance

green question marks painted on trees in forest

MiFID II Webinar Q&A With AIMA, Katten and Broadpeak

Recap of our recent MiFID II Webinar and Q&A with AIMA, Katten and BroadPeak AIMA, BroadPeak and Katten Muchin Rosenman had a great webinar and Question and Answer session last week on MiFID II transaction reporting and position limits. We had just over 350 attendees and could not quite get to all the questions. So,

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Events, Position Limits, Regulatory Reporting

BroadPeak Partners with Unavista for MiFID II Trade Reporting

BroadPeak Partners with Unavista for MiFID II Trade Reporting MiFID II Trade ReportingNEW YORK, NY (PRWEB)MARCH 16, 2017 BroadPeak Partners announces a partnership agreement with the London Stock Exchange’s UnaVista for MiFID II. A recognized leader in software integration, BroadPeak Partners is the developer of K3, an integration platform that seamlessly moves data from one

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MiFID II, Regulatory Reporting

The Demise of Delegated Reporting- MiFID II

The Demise of Delegated Reporting – MiFID II Trade Reporting. Ask anyone on the sell side or in commodities or derivatives about MIFID II and you will probably get a pretty solid “been there, done that”. Dodd-Frank, EMIR, REMIT, Canada; MIFID II does not look so bad. Sure, a few wrinkles like T+0 transparency reporting,

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MiFID II, Regulatory Reporting

Euro Insanity

Euro Insanity, understand your reporting options. There’s an old saying that insanity is defined by doing the same thing again and again and expecting different results. There is no shortage of compliance pain under ESMA, REMIT, MIFID…etc: ESMA recently released an updated EMIR reporting specification which increases the number of report-able fields by 50% to

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Compliance, Regulatory Reporting

Not all RRMs are created equally

Not all RRMs are created equally It’s just a matter of time… With all this global trade reporting going on and all sorts of new players entering the market, it’s just a matter of time before someone’s data gets hacked. Being able to predict trading patterns and how counterparties affect the market is an advantage

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Regulatory Reporting

river running between two mountain ranges

Choose Your Repository Wisely

Choose Your Repository Wisely Came across this gem today. The DTCC’s position is that regulators must tell the trade repositories what fields they require for aggregation and what standards to maintain on them. Yes, that’s all true and makes tons of sense. Except that it’s only smart for a repository to maintain some data standards

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Regulatory Reporting

4 Questions REMIT RRMs Don’t Want You To Ask

4 Questions REMIT RRMs Don’t Want You To Ask As we move forward with REMIT there seem to be a lot of entities with stars in their eyes that they want to become an RRM. RRM is the Regulatory Reporting Mechanism under ACER that facilitates the reporting of transactions. This seems like a fairly straightforward

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Compliance, Regulatory Reporting