Insights, Archived
Research, white papers and articles
Increasing Clearing in U.S. Treasuries Regulation
Regulatory Overview and Timelines, Summary of the Four Rules Being Amended, Details of SEC Rule Requirements and Definition of “Eligible Secondary Market Transactions”, Summary of DTCC Proposals to Modify the GSD Rules
OFR SFT-2 Reporting
Regulatory Overview and Timelines, Who Needs to Report: Reporting Thresholds, Delegation of Reporting Responsibilities, Reporting Instructions for Covered Reporters
Recap: Insights from the Canadian RegTech Association’s (CRTA) Derivatives Forum
Our Regulatory Advisory team attended the CRTA Derivatives Forum at S&P Global. The event featured insightful discussions with industry leaders tackling key regulatory challenges, particularly the CSA Rewrite and evolving global reporting mandates.
EU’s Transition to T+1 Securities Settlement
Recent Developments for EU’s Transition to T+1, Product Types In-Scope of T+1, Benefits of Transitioning to T+1 Settlement, Expected Regulatory Timelines, Most Affected Areas of Impact for Firms, Implementation Timeline and Activities
Proposed Changes to MiFIR RTS 22
Regulatory Overview and Expected Timelines, Key Changes Being Proposed to RTS 22, Transactional Data Reporting Field Changes, Additional Proposed Changes
SEC Rule 10c-1a & FINRA Rule 6500 Series
Regulatory Overview and Timelines, Differences Between SEC 10c-1a and ESMA/FCA SFTR, In-Scope Reportable Securities and Reporting Persons, Details of the Public Dissemination of Loan Information, Reporting and Public Dissemination Deadlines, Reportable Data Elements
FINRA Rule 6730 & MSRB Rule G-14 Amendments
Regulatory Overview and Timelines, One-Minute Reporting including Exceptions, “De Minimis” Exception for Dealers with Limited Trading Activity, Exception for Trades with a Manual Component, Key Project Activities Required For Rule Compliance