4420 Results from /regulation
Retired Member
In our previous blog we saw how MiFID II intends to ensure transparency across all asset classes, including those that are not in scope today, and the impact it will have on market participants. In this second installment we look at the regulation of commodities through position limits. To recap, most commodities trading firms are exempted from MI...
23 April 2013 /regulation
In our PRMIA risk survey we found that if risk managers could change one thing relating to risk management, they would create a risk culture and find a better way of integrating risk into their investment process. In my view, these the two things will have the most positive impact on risk management overall. Yet at the majority of buy-side firms ...
19 April 2013 /regulation
Improving market transparency has been a focus of reforms post -financial crisis. As an increasingly important component of the market infrastructure, “dark pools” are inevitably part of the regulatory reviews currently under way across the globe. In the U.S., the Securities and Exchange Commission (SEC) has published a consultation paper that di...
18 April 2013 /regulation
A common theme emerged on the first day at the Global Derivatives Trading and Risk Management Conference. CVA, DVA and FVA (but also a number of other components) have found their way into pricing and valuation models of financial institutions after the financial crisis of 2008. After a macro-economic assessment by David Nowakowski of Roubini Glob...
17 April 2013 /regulation
Jim Marous Publisher at The Financial Brand
Much of the noise in the US is around the concept of 'Too Big to Fail' (TBTF) at a time when there could be a larger issue on the horizon . . . 'Too Small to Succeed' (TSTS). With increasing regulatory capital requirements, declining interest margins, a greater need for investment in innovation and new competition, there are many in the industry wh...
17 April 2013 /regulation /retail Disruption in Retail Banking
Since MiFID I was introduced it became increasingly clear that certain products, particularly commodities and corresponding derivatives also needed to be regulated. There are no current rules for ‘on-market-trading’ of OTC derivatives and most commodities trading firms are exempt from MiFID when trading on their own accounts. The result, as postul...
16 April 2013 /regulation
Robert Siciliano Security Analyst at Safr.me
We hear an awful lot about hackers breaking into systems and taking down networks or stealing millions of data records. The general understanding we have for hacking is bad guys want to disrupt things to make a point or to make money. But how do they really use our personal information against us? Whether you realize it or not, you expose a lot of...
16 April 2013 /security /regulation
The post-crisis business environment poses new challenges for risk management. Buy-side firms are faced with a risk challenge trio – the emerging regulatory regimes and the interconnectedness of financial markets in the form of liquidity risk and counterparty risk. Recently we conducted our second annual global risk management survey with the Prof...
15 April 2013 /regulation
Gone are the days when you had to click to “accept” a download or install a software update in order to become infected. Now, just opening a compromised web page could allow dangerous code to install on your device. You just need to visit or “drive by” a web page, without stopping to click or accept any software, and the malicious code can download...
13 April 2013 /security /regulation
Hugo Cuevas-Mohr CEO at Mohr World Consulting - IMTC Conferences
The announcement Wednesday, April 10th 2013, that one Licensed Money Transmitter, Braz Transfer, was shot down by the Massachusetts Division of Banking (http://1.usa.gov/ZezCTc ) and two other were issued orders of Cease and Desist has been seen by many as a long-time-coming victory in the battle against the Brazillian Parallel Market. The two Cea...
12 April 2013 /payments /regulation
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