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Is the buy side really ready for regulatory reform?

By David Field, Rule Financial

David Field.png

David Field is executive director of Rule Financial, a London-based advisory firm focusing on IT for the global marketspace. His specialty is clearing and collateral management, and he currently advises clients on regulatory changes such as EMIR, with its mandatory OTC clearing requirements.

Despite numerous delays to the introduction of mandatory reporting for over-the-counter (OTC) derivatives, the deadlines now finally appear to be on the horizon. Research conducted last year by Rule Financial showed buy side firms to be lagging considerably behind their sell side counterparts in their preparation for the Dodd-Frank reforms; one year on little has changed. A combination of the need to reduce operating costs and a relative lack of involvement in the drafting process are just two reasons why the buy side have thus far struggled to adapt and comply with the incoming regulation. Set to impact virtually every element of the derivative trade lifecycle, firms are tasked with considering a number of issues for timely compliance.

Read the commentary >

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Is the buy side really ready for regulatory reform?

By David Field, Rule Financial

David Field.png

David Field is executive director of Rule Financial, a London-based advisory firm focusing on IT for the global marketspace. His specialty is clearing and collateral management, and he currently advises clients on regulatory changes such as EMIR, with its mandatory OTC clearing requirements.

Despite numerous delays to the introduction of mandatory reporting for over-the-counter (OTC) derivatives, the deadlines now finally appear to be on the horizon. Research conducted last year by Rule Financial showed buy side firms to be lagging considerably behind their sell side counterparts in their preparation for the Dodd-Frank reforms; one year on little has changed. A combination of the need to reduce operating costs and a relative lack of involvement in the drafting process are just two reasons why the buy side have thus far struggled to adapt and comply with the incoming regulation. Set to impact virtually every element of the derivative trade lifecycle, firms are tasked with considering a number of issues for timely compliance.

Read the commentary >

Recent Commentaries
CFTC, SEC Identity Theft Policies Now Required] - James Bibbings/Nicole Kuchera
The Derivatives Industry Turns a Corner at FIA Expo 2013 - Jessica Titlebaum, The Glass Hammer
FIA PTG Statement on Government Release of Market-Moving Data - FIA Principal Traders Group, October 2013

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