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The Global LEI Initiative: Beginning 2021 With Much Accomplished and an Ambitious Agenda

By Allan D. Grody, Financial InterGroup
Originally published on the Financial InterGroup site


Below is a research note from Allan D. Grody of Financial InterGroup that looks back at the …

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Reporting on LEI Progress – August 2020

By Allan D. Grody, Financial InterGroup
Originally published on the Financial InterGroup site

Below is a research note from Allan D. Grody of Financial InterGroup on the continued adoption of …

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Access Fee Pilot May Lose Direction When New Exchanges Appear

By Kelvin To, Data Boiler Technologies, LLC
Originally published on the TABB FORUM

The launch of MEMX and other new stock exchanges may disrupt the SEC’s plan to adopt an …

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News

Systemic risk scores surge at six U.S. G-SIBs

By Louie Woodall and Abdool Fawzee Bhollah
May 23, 2019, Risk Quantum

Six of the eight U.S. global systemically important banks (G-SIBs) increased their systemic risk scores in the first …

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The Increasing Impact of Technology on the Cost of Compliance

By Susannah Hammond and Stacey English, Thomson Reuters
Originally published on the Thomson Reuters ‘Answers On’ Blog and the TabbFORUM

For most financial firms, remaining compliant with the myriad of …

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Cost of Compliance 2017, Part 3: Managing Risk in the Age of Regtech

By Stacey English and Susannah Hammond, Thomson Reuters
Originally published on the TabbFORUM

The rapidly changing use of technology has been described as an inflection point for financial services and …

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News

In a Bind: How CCAR Constrains U.S. Bank Strategy

By Steve Marlin
August 15, 2017, Risk

Earlier this year, a large international bank reluctantly jettisoned one of its U.S. lending portfolios. The loans were perfectly healthy and would have …

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Cost of Compliance 2017, Part II: Typical Week of a Compliance Officer

By Stacey English and Susannah Hammond, Thomson Reuters
Originally published on the TabbFORUM

Compliance officers face a never-ending balancing act in order to fit a multitude of tasks within a …

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Comments, MiFID

Cost of Compliance 2017: Are Budgets Reaching Their Peak?

By Stacey English and Susannah Hammond, Thomson Reuters
Originally published on the TabbFORUM

The rate, pace, complexity and volume of regulatory change and uncertainty has shown no sign of moderating. …

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  • ESMA: Both OTC Identifiers Will Not Be Required in EMIR Reporting

  • Intermediaries ‘Failing to Share Data With Fund Firms’: FCA

  • Can Brexit Fix Adviser Regulation?

  • Has COVID Stopped the Clocks on FX Timestamp Efforts?

  • UK Snuffs Out Hopes of End to Midpoint Trading Ban

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