Insights, Archived
Research, white papers and articles

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

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

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

OSFI Delays Basel III Floor: Global Coordination amid Industry Extensions
On July 5, 2024, the Office of the Superintendent of Financial Institutions (OSFI) announced a one year delay in implementing an increase to the Basel III output floor, a regulatory measure designed to standardize risk-weighted asset (RWA) calculations across banks.

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

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

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