CDM and the path to Christmas 2027

by Alan McIntyre, Industry Relations Lead Keeping the theme seasonal and giving a slight nod to our previous article (The CFTC Roadmap and Christmas 2019), earlier this month we were afforded a glimpse of the ghost of a future Christmas. That glimpse came courtesy of ISDA with their excellent conference in London on Technology and […]


A Day in the Life of a Compliance Officer, Part 1

The first article of the “Day in the Life” series, sponsored by RegTek Solutions, is now available to read on The OTC Space. In this series, compliance officers from some of the world’s biggest financial institutions will be discussing the profession’s challenges, their approach to technology, and wishes for the future. In this first interview, […]


Trade Reporting – The gift that keeps on giving

by Alan McIntyre, Industry Relations Lead I attended an industry event on the EMIR RTS ReWrite recently and the main presenter was discussing the continuing pace of change. The changes being discussed include the RTS ReWrite, MiFIR, SFTR and the significant scope of these changes. He quipped that, “as a contractor once said to me, […]

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Derivatives Identifiers – Brian Lynch Interview in ‘Best Execution’

The Regulation & Compliance column in the October 23 edition of Best Execution by Lynn Strongin-Dodds focuses on the industry’s slow response to ISDA’s White Paper on Derivatives Identifier standardization. In the article, RegTek Solutions CEO Brian Lynch expresses his opinion that he doesn’t “think that the Industry has taken the White Paper to heart”,  and […]


Rocket 10 Article: Data Quality Assurance – What Other Disciplines Can Teach Us

In the recently published edition of The OTC Space’s Rocket 10 Magazine, RegTek Solutions’ Lloyd Altman writes about “Data Quality Assurance – What Other Disciplines Can Teach Us”. In the introduction, Altman writes “Data quality as both a necessity and ideal is not unique to the capital markets, yet little has been written regarding techniques […]


Article: “What a year: MiFID II/MiFIR, EMIR RTS, SFTR and SEC SBS”

The most recent edition of the Journal of Securities Operations & Custody (Volume 9 Number 4) features an article by Lloyd Altman entitled “What a year: MiFID II/MiFIR, EMIR RTS, SFTR and SEC SBS”.  Opening by paraphrasing Heraclitus, “Change is the only constant”, the article focuses on Europe and the US, going into detail regarding all of […]

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TheTradeNews Video – The Future of RegTek

During the FIA’s 2017 IDX Conference, RegTek.Solutions CEO Brian Lynch was asked his opinion regarding the impact that regulations will have on the industry in 2018 and beyond.  Lynch’s insightful response, comparing the MiFID II race to the finish line with our experiences with Dodd-Frank, is worth watching in its entirety. Watch The Full Video Here […]

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EMIR, MIFIR, and SFTR – article by Alan McIntyre in “Rocket 9”

2017 is shaping up as the year of regulatory compliance in Europe. Alan McIntyre’s article “Navigating The Waters of EMIR, MIFIR, and SFTR” in the recent edition of Rocket 9 from The OTC Space  lays out the technical and planning challenges, scope, and overlap between each of the three regimes. In addition to illuminating issues like ESMA’s decision […]


EMIR Trade Reporting at 3 Years

A year ago there were several articles and posts marking the 2nd Anniversary of EMIR Transaction Reporting, which went live on 12th of February, 2014. This year, perhaps because of all of the focus on getting ready for MiFID II/MIFIR, it seems like everyone has forgotten to say “Happy 3rd Birthday, EMIR Reporting”! This 3-year-old […]


5 Key Takeaways from the CPMI-IOSCO “Harmonisation of critical OTC derivatives data elements (other than UTI and UPI)” – second batch

by Alan McIntyre In October 2016, CPMI-IOSCO published their Harmonisation of critical OTC derivative data elements (other than UTI and UPI) – second batch  Here are our 5 Key Takeaways: Is ISO 20022 the standard? Risk Focus are enthusiasts regarding the benefits that a clearly defined data schema such as ISO 20022 can bring to improve […]