Insights, Archived


Research, white papers and articles

Global Regulatory Reporting Rewrites
Charlene Fong Charlene Fong

Global Regulatory Reporting Rewrites

Overview, Regulatory Reporting Go-Live Dates, Adoption Rates of CPMI-IOSCOs CDEs, Other Notable Changes in Rewrites: CFTC, CSA, EMIR, JFSA, ASIC and MAS.

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FINRA Rule 4210 Regulation Overview
Charlene Fong Charlene Fong

FINRA Rule 4210 Regulation Overview

Overview, Eligible Transactions – Covered Agency Transactions, Margin Requirements, TBA Transaction Example: Mark to Market Loss Not Exceeding MTA Exception, Mark to Market Loss Exceeding MTA Exception, Uncollected Margin by COB Next Business Date, Uncollected Margin by 5th Consecutive Business Date.

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Overview T+1 Settlement
Charlene Fong Charlene Fong

Overview T+1 Settlement

SEC has released an update on T+1 which will shorten the process for settling securities transactions from two business days to one. The final rule benefits investors and reduces the credit, market, and liquidity risk in securities transactions.

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