DerivSource Article on Dodd Frank: No Foot off of the Transparency Pedal

Transparency for trade and transaction reporting remains critical under Dodd-Frank – when almost all Swaps Dealers are impacted by regulators’ demands in jurisdictions across the world, there can no easing up.


MiFID readiness the top priority? What About SEC?

MiFIR/MiFID II preparedness is top of mind at every firm I’ve recently visited, but that could be about to change. The SEC’s security-based swap (SBS) reporting threatens to be equally time-consuming and costly to participants as MiIFD II.


Banks Must Streamline Trade Reporting to Cope with Expanding Regulations

For the first time in my 25+ year capital markets technology career, a group that traditionally has had the clunkiest systems and the smallest budget is suddenly in the spotlight – post-trade trade reporting. Historically, there was no P&L benefit to speeding up or radically improving post-trade reporting – once trades were processed the pressure was off. This has all changed with the current wave of regulation, which is requiring banks to streamline trade reporting like never before.


Risk Focus @ Derivatives Regulatory Reporting Conference – EMIR, Dodd-Frank & LEI

Risk Focus attended the premier Derivatives Regulatory Reporting conference of 2014 in London from June 17-18. The conference covered many significant challenges posed by financial institutions related to derivatives trade reporting in compliance with Dodd-Frank, EMIR and other jurisdictions.


The Role of Swap Execution Facilities (SEFs) in Derivatives Trade Execution, Clearing and Reporting: Part 1

Swap Execution Facilities came into existence as a result of the Dodd-Frank Act. A key goal of the Dodd-Frank Act is to bring greater transparency to the OTC swap market through derivatives trade execution and derivatives reporting.