Securities and Exchange Commission

Clock Ticking on SEC Security Based Swap Reporting…Not yet

Clock Ticking on SEC Security Based Swap Reporting…Not yet Brian Lynch, CEO, Risk Focus Ice Trade Vault, LLC, became the first firm to file an application for Registration as a Security-Based Swap Data Repository, as posted on the SEC.Gov website on April 22nd 2016 (https://www.sec.gov/rules/other/2016/34-77699.pdf). We expect that the DTCC will follow shortly after and […]

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Key themes to consider in ESMA’s proposed revised EMIR RTS – by Alan McIntyre, Risk Focus

Key themes to consider in ESMA’s proposed revised EMIR RTS On the 13th of November last year ESMA published their Final Report on the review of the EMIR RTS & ITS (Regulatory and Implementation technical standards) for trade reporting under article 9 of EMIR. As MIFID fever and the rumours of a delay were at […]