11
Nov

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.

23
Jun

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.