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Our News page provides you access to company press releases, CMA professionals in the news, industry recognition and the CMA company brochure. It also provides access to our thought leaders who regularly contribute articles, blogs, quotes and viewpoints on matters affecting the financial industry. In addition, our News tells you when we’re speaking at industry events. From September 9-11, CMA Partner Michael Hartig spoke at the International Securities Association for Institutional Trade Communication (“ISITC”) conference in Washington, DC presenting about “Preparing for New Regulation”. On October 3 in New York, he spoke about FATCA compliance applied to Corporate Actions at the FTF Conference on Corporate Actions Processing. On October 19, CMA Partner Mike Zimits led a panel on, and spoke about Collateral Management & Risk Management of non CCP-cleared trades at the SCI’s 3rd Annual OTC Derivatives Seminar produced by Structured Credit Investor with co-sponsors CME Group, Bingham McCutchen LLP and InterContinental Exchange “ICE”.

 

CMA’s Steven Goune was featured in the Fin Ops Report’s November 16th article on the challenges of customer account data management issues. The article also highlights CMA’s unique and efficient Data Services Utility tool to help firms become CAT-CAIS compliant in weeks, rather than rather than months or longer! Check out the full article here: https://finopsinfo.com/regulations/finras-cat-customer-account-data-management-challenge/ Want to know more about CMA’s Data Services Utility and our CAT-CAIS Compliance Solutions? Fill… Read More »

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The Fundamental Review of the Trading Book (FRTB) will have an impact on most banks’ operating and trading models, and 2021 is a critical year to make plans to deal with the complex set of requirements it introduces. Our panel of experts will share their insights on how you can address the impact and challenges of FRTB through their expertise in risk analytics, mathematical finance, and regulatory rule interpretation. Learn… Read More »

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Become CAT/CAIS compliant in weeks rather than months or longer. As the CAT focus intensifies on CAIS, intra & inter-firm linkages and more, CMA is a leader in the financial industry, including planning CAT Industry RoundTables, featuring legal, financial and regulatory experts from a variety of firms, and focusing on new challenges facing financial firms and broker-dealers. We are also excited to share with you the announcement of our new Data… Read More »

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** This event has taken place. Want to view a recording of the panel or hear more about CMA’s CAT Solutions? Email us at info@capital-markets-advisors.com** On August 13th, CMA hosted a virtual roundtable discussion on the future of the Consolidated Audit Trail (CAT). Even though equity securities (phase 2a) and listed options transactions (phase 2b) event reporting are now live, the Consolidated Audit Trail (CAT) is not fully operational. Linkages… Read More »

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On March 16, in acknowledgement of the impact of COVID-19 on market participants and their need to implement business continuity plans, the SEC issued a no-action letter for CAT reporting, valid until May 20, 2020, without deferral of any subsequent compliance dates – inadvertently creating a potential bottleneck, with reporting firms likely having to deal with remediation activity for phases which had already gone-live, while simultaneously having to prepare for… Read More »

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The General Data Protection Regulation, or GDPR, in Europe and distributed ledger technology are on a collision course. In its mission to secure individuals’ data, GDPR’s principles around data ownership, control and protection seemingly are in fundamental conflict with the ideals of blockchain’s distributed network, says George Bollenbacher, partner, Capital Markets Advisors. Speaking with TABB Group founder and research chairman Larry Tabb, Bollenbacher explains the complexities of regulating data on… Read More »

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With all the regulatory upheaval in the recent past, present, and near future, the last thing the markets need is another fundamental change in the rules of the game, but that’s exactly what we have in the projected retirement of some (but not all) of the various interbank offered rates (IBORs) by the end of 2021. While not a change in the regulations per se, this change may actually have… Read More »

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Even the rollbacks of unpopular rules can have unintended consequences, particularly as they bump up against other rules in the process of being formulated. Such is the case between the proposed revisions to the Volcker Rule and the often-delayed Fundamental Review of the Trading Book. George Bollenbacher examines the implications. Click here for the full article

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Among the regulatory requirements that have crept up to bite us,  none appear to be more troublesome than the reporting of complex trades. With global regulators attacking the issue independently, disparate requirements are complicated and often unclear. CMAs George Bollenbacher breaks down just how complicated reporting obligations can be.   Check out the full article on TabbForum here:  http://tabbforum.com/opinions/its-complicated-reporting-complex-trades-across-the-globe

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The recent global hack attack using algorithms apparently stolen from the NSA should focus our attention on the safety of the electronic information floating around the world’s capital markets, particularly in light of MiFID II’s personal data reporting requirements. But the EU’s new Global Data Protection Requirement should provide some comfort, shouldn’t it? CMA’s George Bollenbacher looks closely at the rule on his latest article on TabbFORUM. Link: http://tabbforum.com/opinions/the-gdpr-in-a-hackers-world

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