Regulatory Reporting

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

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

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

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

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

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 akin to knowing the other players’

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 thing.  Setup a facility to receive values from

BroadPeak will be presenting at the ICE Trade Reporting workshop in Calgary next week (August 27). Who doesn’t love Calgary in the summer? With compliance officers now focusing on Canadian equivalent of Dodd-Frank regulations, the workshop is a timely resource. The workshop will give participants insight into the regulations, their likely impact as well as