Insights, Archived


Research, white papers and articles

Large Trader Reporting for Futures and Options
Charlene Fong Charlene Fong

Large Trader Reporting for Futures and Options

Summary of Key Changes to CFTC’s Part 17, Regulatory Overview, Timelines, Summary of Changes Made to the Data Elements to be Reported, Changes to the Position Reports Data Elements, Example to Compare the 80-Byte and FIXML Formats

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Financial Services 2024 Regulatory Outlook
Charlene Fong Charlene Fong

Financial Services 2024 Regulatory Outlook

Global themes impacting the regulatory outlook, New Prudential Developments, Supervisory Effectiveness, Financial Crime and Operational Resilience, Environmental, Social, and Governance (ESG) related reporting, and Digitization of Finance and Digital Assets

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Increasing Clearing in U.S. Treasuries Regulation
Charlene Fong Charlene Fong

Increasing Clearing in U.S. Treasuries Regulation

Significant updates and proposed changes within the US Treasury clearing landscape, Summary of the Four Rules Being Amended, Regulatory Timelines, Definition of “Eligible Secondary Market Transactions”, Requirement for Access to Clearing and Monitoring of Compliance, Summary of Proposed Rule Changes

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CIRO Strategic Plan FY 2025-2027
Charlene Fong Charlene Fong

CIRO Strategic Plan FY 2025-2027

Overview and Initial Strategic Objectives, CSAs Planned Implementation Process for CIRO, Details of CIRO Strategic Objectives including Outcomes, Priority Transformative Initiatives aligned to High Level Strategic Goals

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Liquidity Adequacy Monitoring Tools
Charlene Fong Charlene Fong

Liquidity Adequacy Monitoring Tools

Overview of Liquidity Tools Available for Banks to Monitor its Liquidity Adequacy, Liquidity Coverage Ratio, Net stable funding ratio, Net cumulative cash flow, Additional liquidity monitoring tools and metrics

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FinCEN New Account Opening Rules
Charlene Fong Charlene Fong

FinCEN New Account Opening Rules

Regulation Overview, Indicative Example of the Obligations for Broker-Dealers that Open New Accounts for Legal Entity Customers, Certification Regarding Beneficial Owners of Legal Entity Customers

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