Regulation & Compliance

Where There’s a Will, There’s a Way

With less than a month to go until the SGX lists its new India derivative products, anything can happen. All eyes are on India’s regulator, Sebi, as well as the country’s three exchanges, to see what action—if any at all—they will take.

How is the Industry Faring in a Post‑Mifid II World?

The revised Markets in Financial Information Directive (Mifid II) went into effect at the start of 2018 and, as with any significant regulation go-live, there were some hiccups. Three months later, there are still gaps that need to be filled –…

Getting Ready for CAT

While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…

Global Fragmentation Looms in FRTB Data Pooling Stand-Off

The upcoming FRTB market risk framework allows financial firms to take different approaches to non-modelable risk factors: either capitalize risk factors that lack observable pricing in-house, or use a vendor-run data pooling utility. But, as Dan…

Mind the Governance Gap: Data Key to SEC Modernization Compliance

Good data governance plans will be key to compliance with new sweeping legislative changes from the SEC. But for those who haven’t established effective data governance practices—and even for many who have—the changes could prove a steep and arduous…

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