The Good Sheperd of Compliance Data Post the financial crisis of 2008, financial firms that trade directly with other firms (as opposed to a listed exchange/marketplace) are subject to an ever-increasing number of regulatory requirements. Think Dodd-Frank, EMIR, REMIT, MiFID II, and their analogues in each regional jurisdiction around the globe. While some of these […]
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StandardiZation, StandardiSation. Why can’t we all just agree??? With the Dodd-Frank SDR reporting inching slow ahead to full steam in the US, how have we fared thus far? Truthfully? Not so well! Why? Well one does not need to go any further than to take a peek at what’s on the CFTC’s mind. And what
SDR/TR | Standardi (Z or S) ation Read More »
Your End-User Dodd-Frank Checklist In Texas it’s illegal to graffiti someone’s cow. Seriously, you can’t make this stuff up. So at some point someone in Texas took branding a bit too far. And a legislature got into a knot and viola we have a law. Speaking of fun laws, Dodd-Frank is upon us. Here is
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The 2013 Trading Landscape Remember the 2007 price manipulation case? There was an interesting clash between price publishers, alleged manipulative traders, and the CFTC. It kind of turned into a debacle where rogue traders were allegedly submitting false prices to the price publishers. The CFTC in trying to police the manipulation dropped a subpoena on
Trading 2013 | The Price is Right! Read More »
DTCC got some good news this week with the preliminary approval of the for interest rate, credit, foreign exchange and equity asset classes. Suspiciously missing from this is DTCC’s GTR (Global Trade Repository). GTR is where the “other commodities classes” are supposed to go. This means that, as of this writing, there is only one approved
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Dodd Frank | Trade Vault and DTCC “Gotchas” The compliance deadlines are looming. Some of the bigger Gotchas that keep coming up: Data Is Not In Our Trading System. The CFTC wants (XYZ Data Point). We don’t have that in our trading system! Case in Point: Option Expiration Time Zone. Obscure, yes. So much so
Dodd Frank | DTCC and Trade Vault “Gotchas” Read More »
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