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Are you on top of your custody’s own risks?
Will you have the cash to cover your losses when the next quake shakes your custody contracts? A blog post by industry veteran John Gubert, in Global Custodian, suggests a long list of operational risks that could deserve more attention.
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One in ten reported MiFIR trouble
Numbers from the UK indicate that the implementation of MiFIR transaction reporting at investment firms is going so-so.
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Now is the time for your views on SFTR
ESMA opens for public consultation on draft guidelines for the upcoming Securities Financing Transactions Regulation (SFTR), which will require 153 reported fields for securities lending and repo trades.
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Don’t take ESG for empty talk
Are environmental, social and governance concerns truly changing the asset management industry? Yes, and a lot, to judge by Jarkko Syyrilä’s keynote on regulation at PostTrade 360 Copenhagen.
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Sail or sink: navigating sanctions risk in a pre-trade environment
Steering clear of officially sanctioned assets requires a lot more than just recognising the names of targeted persons and getting the client on-boarding right. Oliver Bodmer, senior product manager at SIX, looks at the need for continuous monitoring.
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Make your compliance a competitive advantage
On stage during PostTrade 360 Copenhagen last week, SIX Group’s Roy Kirby made the case for taking commercial opportunities offered as spin-offs from adaptation to regulations.
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SFTR could see securities lending traders go home
Some fear that extensive reporting requirements, which are to come in with Europe’s Securities Finance Transaction Regulation (SFTR), could discourage actors from continuing their services – leaving market liquidity suffering.
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Swap trade report matching could have been worse
For only 40 percent of all swaps trades in the EU, both sides report the trades in the way they are obliged to since five years, says ESMA. Yet, many in the industry expected the percentage to be even lower.
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Trade in UK stocks could be pulled into EU
Under a no-deal Brexit, investors see risk of a UK–EU regulatory tug-of-war which could force investors to trade at venues with only second-best liquidity.
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Norway could eye Sweden for voting rights
The circumstances for Norway in adopting to EU regulation frameworks CSDR and SRD II were topic for a presentation last Thursday, by Jorunn Øystese, head of legal and compliance at VPS, Norway’s CSD.
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ANNONS