Best Compliance As A Service Solution At 2020 Regtech Insights Awards

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Cappitech Wins Best Compliance As A Service Solution At 2020 Regtech Insights Awards

We are pleased to announce that we have been awarded “Best Compliance as a Service Solution” at the 2020 RegTech Insight Awards today. Winners for these awards are selected in a voting process by the market after being shortlisted by a ju...
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Best Compliance As A Service Solution At 2020 Regtech Insights Awards

Cappitech Wins Best Compliance As A Service Solution At 2020 Regtech Insights Awards

We are pleased to announce that we have been awarded “Best Compliance as a Service Solution” at the 2020 RegTech Insight Awards today. Winners for these awards are selected in a ...

Challenges facing the regulatory reporting industry as a result of CME closure

Repercussions from the closure will have far reaching impact on the regulatory reporting community and industry at large Last week’s announcement regarding the closure of CME’s r...

    What is delegated reporting in EMIR and can it save my firm money?

    In today’s blog post on the EMIR derivative trade reporting mandate we take a look at delegated reporting. For full disclosure, the parent company of this blog, Cappitech, provides de...

    Preparing for EMIR REFIT Next Month – Reporting for NFC-’s

    Starting June 18th, 2020, new reporting requirements covering Financial (FC) and Non-Financial Counterparties (NFC) go into effect under EMIR REFIT. The REFIT was enacted on May 2019, w...

    ESMA readies for SFTR arrival with four trade repositories getting approved

    The next step of SFTR preparation has been completed as ESMA has approved four Trade Repositories (TRs) for submission of SFT reports. The four firms are DTCC, Unavista, REGIS-TR and KD...

    Covid-19 Regulatory Roundup – MAS Postpones, MAR in focus and Best Execution

    Last month’s announcement from ESMA that they were pushing back the initial go-live date of SFTR was a welcome relief for many. But that hasn’t been the only update from regulators....

      March trading volatility, rising volumes, cross-asset benefits and risk management

      Declines in global stock markets during March led indexes to record losses. In the US, the Dow Jones had it’s worst ever start to a year, falling 23.2% for Q1. However, the stock pric...

      Breaking: ESMA Issues Statement of De-Facto Postponement of SFTR Go-Live

      As the world deals with the Covid-19 virus, SFTR is set to go live with its first pahase on April 13th in the EU. However, due to shutdowns across Europe and difficulties preparing for ...

      Thoughts on the market rout, compliance and working from home

      Blog post was first published on Finance Magnates . Titled Coronavirus, Compliance, SFTR and Business as Usual (link to original), the article shared views on how the covid-19 virus imp...

      FCA publishes Covid-19 relief response with regulatory reporting update

      After stating earlier this month that they were working on a joint initiative with the Bank of England and other UK regulators to assist with covid-19 market challenges, the FCA publish...

      Fintech firms AccessFintech and Cappitech announce expansion of partnership

      Workflow collaboration combined with regulatory compliance delivers greater governance and risk controls in an increasingly scrutinized marketplace AccessFintech, which delivers col...

      CySEC focuses on MiFIR transaction reporting in latest circular

      After conducting a review of data quality of transaction reports under MIFIR, CySEC has published today their initial observations (link). The circular highlighted five specific fields ...

      Industry Experts Speak: Top 10 RegTech Trends for 2020 and Beyond

      Regtech is now mission critical for financial institutions as they continue to grapple with the bombardment of costly and complex financial regulations. Huge amounts of money are being ...

      ESMA defines SFTR reporting obligations for non-EU AIFs and EU Branches

      When ESMA published their Final Guidelines for SFTR earlier this month, they answered a number of open questions the investment industry has had about the new regulation. Among them...
      Cappitech Red Deer

      Red Deer and Cappitech partner to offer a complete solution for MiFID II reporting, Best-Execution Monitoring and MAR compliance

      Red Deer, the financial technology company dedicated to enhancing the performance of active investment managers, and Cappitech, a leading provider of regulatory reporting and intelligen...

      ESMA grants 12 month reprieve of reporting LEIs of non-EU issuers under SFTR

      In anticipation of the April 11th go-live date of SFTR, ESMA has published number of reports and guidelines clarifying open questions the investment industry has on the new regulation. ...

      Discussing Best Execution, CySEC and Best Practices

      Earlier this month, Cappitech held its first CFD Broker Compliance Working Group in Cyprus. After a number of similar events since the beginning of 2018 in London, we were well overdue ...

      Cappitech 2019 Year in Review

      Record year of growth, product innovation and awards As the year draws to a close, we wanted to share a brief recap of Cappitech’s 2019 news and milestones.  Over the last 12 mont...

      SFTR questions the financial industry hopes ESMA will answer

      n May of this year, ESMA opened a public consultation period for industry members to provide their opinions on open questions regarding SFTR’s. Feedback from respondents would then be...

      MiFID II and Other Regulatory Reporting Continues to be Incomplete

      - Cappitech’s second annual MiFID II & Best Execution survey shows continuing gaps and challenges, with limited positive impact in some areas - Cappitech has completed its ...

      How SFTR affects MiFID II Reporting

      Although there is an overlap between products reported under EMIR and MiFID II’s transaction reporting regulation, SFTR won’t experience the same dual reporting obligation. The curr...

      CAPPITECH SELECTED FOR REGTECH 100 LIST

      Cappitech is proud to announce that it has been included in the RegTech 100 list, the prestigious annual list of 100 of the world’s most innovative RegTech companies compiled by RegTe...

      ESMA PUBLISHES VALIDATION RULES AND XML SCHEMAS FOR SFTR REPORTING

      With SFTR set to go live in April of next year, ESMA has published (link) the Validation and XML schemas of the new regulation. The XML structure is part of the ISO 20022 standard that ...

      Cappitech Appoints Mark Kelly To Board Of Advisors

      We are pleased to announce that Mark Kelly has joined Cappitech's Board of Advisors. Mr Kelly’s 30 years of financial and regulatory expertise will enhance Cappitech’s ability to of...

      Cappitech Recognized as a Gartner “Cool Vendor in Banking”

      Cappitech as been recognized by the world’s leading research and advisory company, Gartner, as one of four 2019 “Cool Vendors in Banking”1. According to the report, “Gartner’s...

      Best Execution Clarity and MAR requirements for Spot FX raised by ESMA

      With the summer clearly behind us, October has already been a busy month for ESMA. The European financial supervisor began the month published information of new responsibilities they a...

      Cappitech Wins Best Regulatory Reporting Solution at Grant Thornton Regtech Reporting Index Awards

      Cappitech was awarded “Best Regulatory Reporting Solution” at the inaugural Grant Thornton RegTech Reporting Index awards last night in London. According to Grant Thornton, t...

      Intermoney And Cappitech Partner To Offer Regulatory Reporting Services In Spain

      INTERMONEY CONSULTORÍA, a subsidiary of the CIMD Group, the leading independent brokerage, consulting, asset management, securitization and energy group in Southern Europe, and CAPPITE...

      Best Execution, Costs and Fraud among risks for the Wealth Management industry

      In June, the FCA published a ‘Dear CEO’ letter aimed at the Wealth Management and Stockbroking industry. The letter covered a number of risks affecting wealth management customers. ...

      Discussing CASS, Market Surveillance and Section 166 Reviews

      Earlier this month, Cappitech hosted its latest CFD Broker Compliance workshop. Widening out from recent focuses on transaction reporting and MiFID II, the breakfast event included pres...

      MAS Singapore Derivative Reporting Changes Coming this October

      In the world of derivative reporting, many countries have used a staggered format to introduce the new regulation. Starting with the largest financial institutions such as banks, the tr...

      FIA Recommends End to ETD Transaction Level Reporting under EMIR

      The FIA, one of the leading trade organizations for exchange traded derivatives (ETD) markets, has recently published their recommendations to regulators regarding reporting ETDs under ...

      IHS Markit to Integrate Cappitech Technology in SFTR Reporting Solution

      Cappitech, a leading provider of regulatory reporting and intelligence solutions for the financial services industry and IHS Markit, a world leader in critical information, analytics an...

      FCA Market Watch 59 addresses Reconciliation and MiFIR Errors

      The FCA has recently issued their latest Market Watch Report (link). The newsletter is released periodically by the UK financial regulator and focuses on Market Conduct and Transaction ...

      Cappitech Wins “Best Regulatory Reporting Solution” In Regtech Insight Awards

      Cappitech has been awarded “Best Regulatory Reporting Solution” in the RegTech Insight Awards. The awards identify and highlight leading providers of RegTech solutions, services and...
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      MiFID II Compliance and Transaction Reporting Reviews Featured in FCA 2019/20 Business Plan

      Cappitech Launches MiFID II Market Intelligence Product, Enabling Financial Institutions To Monetise Regulatory Reporting Data

      Cappitech announces the launch of RTS 28 Market Intelligence, a product that allows financial institutions to use regulatory compliance data to their own advantage. The electronic surve...

      Cappitech launches ‘Insights’ tool for peer review regulatory analysis

      With MIFID II now over a year old, the focus has moved from mere ‘compliance’ to ‘improving the data quality’ of submitted reports.  Heading into 2018, most EU firms were under...

      Goldman Sachs and UBS fined £34.3m and £27.6m for Transaction Reporting failures

      In twin announcements this month, the FCA has fined Goldman Sachs and UBS fined £34.3 million and £27.6 million respectively for MiFID I Transaction Reporting failures. The two invest...

      Cryptocurrency Regulation, Cybersecurity and EMIR Updates Headline Cappitech’s Compliance Breakfast

      Last week, Cappitech held its quarterly London Compliance Working Group. After four successful events in 2018, this was the first of 2019. The event was held at the CME Group Lon...

      Best Execution: Essential for Asset Managers and Hedge Funds Looking to Comply and Improve Performance

      Yield and performance. The heart of every asset manager's business. The driving force behind the day-to-day activity of buy-side firms. Yet, how many of these firms view complying with ...

      Does Your MiFID II Reporting Meet Regulators’ Standards & is it Brexit Ready?

      Now that we are a year post MiFID II, it’s fair to assume that most capital markets firms have their houses in order with respect to complying with MiFID II’s extensive rules. Howe...

      FCA and CySEC expanding MiFID II monitoring to Best Execution and RTS 27/28 requirements

      At the start of 2018, there was an unofficial understanding among EU regulators that they were providing investment firms a six month ‘grace period’ for complying with MiFID II repo...

      Cryptocurrency reporting for EMIR and MiFIR may be on their way as ESMA seeks cross-EU standards

      Where cryptocurrencies fall within EMIR and MiFID II has been an area of debate over the last few years. Specifically, with the popularity of Initial Coin Offerings (ICO) and bitcoin CF...

      ASIC Brings Full Lifecycle Derivative Reporting to CFDs

      CFDs are the focus of new announced changes from ASIC to their Derivative Reporting regulation (link to announcement). The change will make it mandatory starting from July 1st, 2019, fo...

      Cappitech Named One of the World’s Most Innovative Regtech Companies

      The 2019 RegTech 100 rankings recognise pioneering companies transforming compliance, risk management and cybersecurity through technology Cappitech, a leading provider of regula...

      Cappitech MiFID II Industry Survey Finds High Percentage of Non-Compliance in Best Execution

        Cappitech, a leading provider of regulatory reporting and intelligence technology for the financial services industry, todayannounced the results of a survey of over 100 Europea...

      Trade Reconciliation: Why you need it?

      MiFID II reporting is now reasonably well established, the reporting issues are recognized by most companies; a topic we recently covered in our MiFID II blog. The reporting process ...

      ESMA and NCA review EMIR data quality as Brexit looms

      Last year, ESMA published guidelines for the transfer of EMIR trades between Trade Repositories (TR). Due to format differences between repositories, ESMA’s goal is to have standards ...

      Cappitech integrates with Trax to streamline MiFID II transaction reporting

      Agreement enhances customers’ MiFID II reporting capabilities Cappitech, a leading provider of regulatory reporting and intelligence technology for the financial services ind...

      ESMA rejects EC Amendments for SFTR, paves way for fewer delays for its implementation

      ESMA has rejected proposed amendments by the European Commission (EC) to the regulatory technical standards (RTS) of the coming SFTR regulation. If no further amendments are proposed by...

      MiFID II – It’s not over yet

      Mifid II has already celebrated its half-year birthday and while many compliance officers may have wished to celebrate by checking the “done box” on this task, the additional MiFID ...

      Cappitech Dashboard gets an update – what’s new?

      Of our product features, our dashboard is one that we are very proud of. First released in 2016, the web-based dashboard provides customers a visual display of their regulatory report ...

      Buying RegTech Software? Don’t underestimate the value of these two things

      Regulation is increasing – no debate there – we all know it and we are all trying to deal with it. The upside is the regtech industry is booming and continually developing solution...

      Cappitech Expands Trade Reporting Solution in Australia with CME Group Integration

      Cappitech, a leading provider of regulatory reporting and intelligence technology for the financial services industry, today announced hat it has expanded its integrated reporting solut...

      What Regulators do with your MiFID II data, EMIR Changes and Compliance Updates

      MiFID II has hit the half year mark, which means regulators now have six months of data to look at. To delve deeper as to what ESMA and local National Competent Authorities (NCAs) are d...

      ‘No LEI no Trade ‘fully goes into effect for MiFID II in July

      Under MIFID II, investment firms trading with Legal Entities were required to make sure these counterparties had a registered Legal Entity Identifier (LEI) before trading with them (mor...

      A view of how regulators supervise EMIR – ESMA Annual Report

      As part of their work, ESMA is tasked with publishing an Annual Report (link) covering different facets of EMIR. Today, they published their first report regarding supervisory measures ...

      Cappitech Raises $4 Million in Series A Financing to Fuel Growth and Innovation

      Cappitech is excited to announce that we have secured $4 million in series A financing. The financing round was led by 83North with participation from Rony Grushka and Kevin Gould, co-f...

      ESMA Updates Best Execution (RTS 27) and EMIR Q&A

      The big recent announcement from ESMA was last week’s formal dates to change lower leverage on CFDs and ban binary options. However, prior to that, ESMA released a series of Q&A u...

      Cappitech launches RTS 27 Best Execution solution to bolster MiFID II offering

      With the first deadline of RTS 27 reports quickly approaching, Cappitech Regulation, a leading provider of regulation technology for the financial services industry has launched a solut...

      RTS 27 Best Execution for Forex/CFD Brokers

      Part of the package of new reporting and corporate governance rules under MiFID II is RTS 27. Unlike other reporting requirements that are near real-time or daily, RTS 27 is a quarterly...

      FCA Seemingly exempts Cryptocurrency CFDs from MiFID II reporting

      Last Friday, the UK’s Financial Conduct Authority (FCA) issued a statement clarifying the authorization of cryptocurrency derivatives. In the statement (link), they explained that off...

      What’s next on the minds of CFD broker compliance teams? Capital Requirements

      Regulation and compliance continues to evolve. While EMIR and MiFID II are worries of yesterday and today, tomorrow has its own set of acronyms worrying compliance officers. With thi...

      CySEC begins investigation of MIFID II (MiFIR) compliance among license holders

      With MiFIR and MiFID II going live on January 3rd, regulators have begun to ask, “who isn’t reporting?” While many country regulators have been quietly reviewing the MiFIR tran...

      Why we chose an ARM vs NCA for our client’s MIFID II Transaction Reporting

      Earlier this month, Cappitech published some of what we’ve learned from the first month of MiFID II going into effect. One of the items covered was our decision to report client Trans...

      A month into MiFID II Transaction Reporting (MiFIR), what we’ve learned

      MiFID II has now been live for a little more than a month in Europe. At Cappitech, we wanted to share our experiences of complying with the Transaction Reporting requirements that are u...

      5 EU Financial Regulation Questions that Need to be Answered in 2018

      2017 was the year for MiFID II. Pretty much everyone in the European financial industry has had enough about hearing of MiFID II preparation. As MiFID II dominated the discussion in 201...

      What is reportable under MiFIR (MiFID II Transaction Reporting) – Analyzing Derivatives

      The goal of this article is to provide a deeper look at specific investment products and analyze how they fit within Article 26 of MiFIR (legislation link). The opinions provided are ba...

      Cappitech’s Capptivate Platform Integrates with Access Fintech

      Access Fintech users can now incorporate Capptivate’s MiFID II and EMIR reporting, tracing regulatory reporting exceptions in its lifecycle management portal. Launched earlier ...

      Is Matched Principal Trading Under MiFID II, One Leg or Dual Leg Reporting?

      (Article updated on Dec 27 - see new comments at end of post)     When MiFID II arrives on January 3rd, 2018, it brings with it a greatly updated version of Transacti...

      Cappitech Regulation selected as RegTech100 company

      Cappitech continues to be recognized as a leader in the fast growing RegTech, being listed as a RegTech100 company. Cappitech’s inclusion in the list is after 416 RegTech companies we...

      £34.5 million EMIR Reporting Fine Slapped by FCA on Merrill Lynch

      Merrill Lynch today became the first investment firm to be fined for a breach in EMIR Reporting. Fined by the UK’s Financial Conduct Authority (FCA), Merrill Lynch will be paying £34...

      MiFID II leniency could be coming from the FCA for diligent firms

      The deeper EU financial firms are engaged with complying with the upcoming MiFID II regulations, the greater the challenges. Going into effect this coming January, MiFID II regulatio...

      CySEC to open MiFID II Transaction Reporting testing in October

      MiFID II transaction reporting is set to go live in January 2018.  These reports can be sent directly to a financial firm’s National Competent Authority (NCA) such as the FCA, CBOI o...

      MiFID II Reporting, Retail Brokers and Breakfast

      Cappitech was excited to be able to host over 60 participants at The Ned Hotel for a MIFID II Reporting breakfast last week. The event included a wide range of compliance and operationa...

      MiFID II Reporting Breakfast for FX/CFD Brokers – Sept 13, London

      MiFID II is coming soon   But if you are an FX/CFD broker and don’t want generic explanations about MiFID II & MiFIR reporting requirements. You want to know specifical...

      MiFID II vs MiFIR: Are they the same thing or different?

      MiFID II regulation is coming up in January 2018, with it are a bunch of new rules for financial firms. Making things confusing are an array of acronyms referred to when discussing MiFI...

      Do Bitcoin, Ethereum and Cryptocurrency CFDs need to be reported for EMIR Regulation?

      Quick, do a Google search for Ethereum. There is a good chance that you will see an ad from a broker like this one. After being on fire in 2013 and then falling in 2014, bitc...

      LEI’s and MiFID II, why you need one and how to get one

      Back in April 2016, Cappitech took a look at LEIs and why they are an integral part of EMIR derivative reporting requirements. With MiFID II coming into effect on January 2018, we felt...

      Looking for another MiFID II delay? You’re out of luck

      With a wide range of reporting and operational requirements being put in place when MiFID II goes into effect, few in the financial industry in the EU and globally are excited about the...

      Preparing for MiFID II: Forex/CFD and Binary Options Brokers

      MiFID II reporting is a large project to undertake. The article covers steps to put a development roadmap in place to reduce the hassle. The article was prepared for and first appeared ...

      Bloomberg Trade Repository for EMIR Reporting Registered by ESMA

      Starting June 7th, firms reporting for EMIR will have a new trade repository (TR) that they can submit their reports to. After a lengthy registration process, Bloomberg Trade Repository...

      Cappitech Launches MiFID II Suite of Technology for Transaction and Trade Reporting

      Cappitech has extended its cross-regulation Transaction Reporting technology to support MiFID II reporting to ARMs With less than nine month until MiFID II goes into effect on Januar...
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      Breaking EMIR Reporting news: European Commission proposes changes to reduce obligations

      After issuing their EMIR Review in November 2016, the European Commission (EC) today is proposing major changes to EMIR reporting. The goal of the amendments is to reduce costs to busin...

      Preparing for MiFID II? It’s all about what’s under scope and data, data, data

      What are the two biggest topics for the EU financial industry at the moment? Attending the CME Group’s Regulation Conference in Dublin last week, the clear answer is MiFID II and to a...

      Don’t sleep on MiFID II Best Execution as Regulators are Waking Up

      New Best Execution standards are arriving soon with the implementation of MiFID II on January 3, 2018. The new text updates what has been in place since 2007 under MiFID I. Those standa...

      Cappitech supports buyside and regulatory initiatives for UTI harmonization

      At Cappitech, one of the most difficult processes we solve with our EMIR Reporting technology is UTI matching. Standing for Unique Trade Identifier, a UTI is an alphanumeric identifier ...

      MIFID II reporting standards arriving to FIX Protocol – Why it matters

      With MiFID II regulation arriving soon, the FIX Trading Community has been working since 2015 to create new protocols for the FIX messaging protocol especially designed for the new regu...

      New EMIR Q&A answers questions about upcoming RTS

      ESMA has issued its latest update to their Q&A paper on EMIR Regulation. Begun in 2014, the Q&A paper is periodically updated with answers to industry issues relating to the imp...

      What is RegTech? Deloitte maps the universe of the present and future

      Within the tech world, financial technology has been branded its own niche of FinTech. As what falls under fintech has broadened to include subsectors such as mobile banking, consumer f...

      EMIR Regulation reigned, but here comes MiFID II – What you read in 2016

      Throughout 2016, our Cappitech blog posted often about a variety of financial regulation initiatives affecting EU regulated brokers, banks and fund companies. Reviewing which posts were...

      FCA/CySEC/ESMA Collusion to Damage CFD/Forex/Binary Options Industry?

      Within the Cappitech blog, we’ve focused a lot on the change in sentiment among regulators towards Forex/CFD/Binary Options brokers. From bans on online advertising and restrictions o...

      Talking Fintech and Asset Management at the ALFI European Alternative Investment Funds Conference

      Closing out the European Alternative Investment Funds conference hosted by the Association of the Luxembourg Fund Industry (ALFI) was a fintech panel. For asset management, innovation...

      What Went Down at the London Summit: the CEO Panel

      For the past few years, after returning from industry conferences such as the iFX Expo in Cyprus/Hong Kong and the Finance Magnates London Summit, I have published my thoughts on trends...

      What Went Down at the London Summit: the CEO Panel

      For the past few years, after returning from industry conferences such as the iFX Expo in Cyprus/Hong Kong and the Finance Magnates London Summit, I have published my thoughts on trends...

      EC EMIR Review – 2017 could bring regulation changes to streamline reporting and ease NFC and clearing obligations

      The European Commission (EC) has issued their Review Report on the European Market Infrastructure Regulation (EMIR) which went into effect in 2014. With a mandate to provide transparenc...

      Meet us at the London Summit and see Cappitech’s new global reporting technology

      Coming up next Monday and Tuesday, November 14th and 15th, Cappitech will be exhibiting at the Finance Magnates London Summit. At the event, we will be providing our first public liv...

      MiFID II: Is your firm a systematic internalizer? (Calculations delayed)

      With the initiation of MIFID I trade reporting of equities in the EU in 2007, it created a new status of companies called ‘Systematic Internalizers’ (SI). An SI is a firm that deals...

      As MiFID II closes in, reporting details and guidelines getting finalized

      For financial, compliance and technology firms serving the RegTech sector, October was an important month for the coming MiFID II regulation. Early in the month, the European Securities...

      MiFID II Innovation – A Consolidated Non-Equity Tape

      With MiFID II headed to be in effect in 2018, coming with it are an overhaul of new reporting and market transparency rules. Among the most groundbreaking are best execution supervision...

      Blockchain – ‘Technology of the future’… but don’t forget to be practical

      This week was an important one for us at Cappitech. After participating earlier in the year in a Fintech Roadshow of Israeli firms that travelled to Luxembourg to learn more about the l...

      Blockchain technology for financial regulation reporting – Cappitech’s analysis

      In June, we published on the Cappitech Blog that the European Securities and Markets Authority (ESMA) had created a consultation paper about the relevance of using distributed ledger te...

      Reporting EMIR to Poland’s KDPW – Why Not?

      Poland as a financial center alternative to London in a post-Brexit environment is making headlines this week. The impetus is a trip scheduled by Polish Development Minister Mateusz Mor...

      What are EMIR Regulation derivative reporting fees charged by Trade Repositories?

      Complying with derivative reporting requirements of EMIR regulation is a dual sided expense. One side is the cost entailed of internal or external human resources needed to create and s...

      MiFID II Preparation – Reporting to ARMs (Approved Reporting Mechanism)

      Although going into effect in 2014, EU financial firms are still getting up to speed with EMIR’s derivative reporting regulation. But, quickly arriving on the horizon will be the MiFI...

      ESMA to EMIR Regulation Trade Repositories – “No More Garbage Reporting”

      The new trend in EMIR reporting that began in earnest in 2016 and based on conversations with trade repositories has become a key focus for ESMA and financial regulators is “no more g...

      FXCM on the Offensive, MiFID II Looms and CME FX Futures Improving

      FXCM has recently issued their execution quality paper again. First published in February of this year with data from October 2014 to August 2015 comparing their pricing compared to FX...

      MiFID Penalties Hit Retail Sector as 24option Site Pulled in France by AMF

      Reported over the weekend, one of the world’s largest binary options brokers, 24option, has closed its website to French customers. According to Finance Magnates, the closure is due t...

      Financial compliance in the cloud? It’s happening everywhere, along with EMIR Regulation

      As a cloud based provider of EMIR regulation reporting services, an oft asked question is whether the financial industry is ready for public cloud hosted platforms? For good reason, ...

      ESMA Singles Out Cyprus in Warning of CFD/Forex/Binary Options Products

      The European Securities and Markets Authority (ESMA) has issued a new warning against CFD, Forex and Binary Options products today, citing their high level of risk. According to ESMA, t...

      Automating EMIR regulation reporting: Static vs Dynamic Data

      One of the challenges of compliance reporting for financial transactions such as EMIR, Dodd-Frank and MiFID is the collection and reformatting of trade records to fit the data requireme...

      Pick your poison, Brexit or CySEC? (The Cappitech July Newsletter)

      Happy Monday!! We recently launched a newsletter and this is our July edition. The newsletter reviews current events in the online trading world with actionable analysis. Subscribers...

      UK Trade Repositories and EMIR after Brexit, the future of unified global derivative reporting regulation

      With the UK potentially slated to leave the EU following the Brexit referendum vote, it has triggered speculation as to EMIR regulation will continue to be applied to British firms. ...

      Do UK firms still have to care about EMIR and MiFID II after Brexit?

      With the Breixt referendum leading to a ‘leave’ vote, it puts doubt on the future of financial reporting requirements for UK firms. Notably, EMIR regulation, which went into effect ...

      Thoughts on the Brexit and Luxembourgish

      Returning from Luxembourg today, I wanted to share some thoughts on the country as viewed by a foreigner arriving to potentially do business in the multi-cultural country Occurring o...

      EMIR regulation and transaction reporting could get easier with blockchain technology implementation

      The European Securities and Market Authority (ESMA) has recently published a Discussion Paper titled ‘The Distributed Ledger Technology Applied to Securities Markets’. The basic pre...

      MiFID II – How it effects non-EU financial firms

      MiFID II is hitting the EU in January 2018. But if you are a financial firm and aren’t based in the EU, you shouldn’t worry, right? Well, not quite, while MiFID II is an EU based...

      EMIR Regulation cited during CySEC Chairwomen Demetra Kalogerou’s iFX Expo Keynote

      Headlining the last day of the iFX Expo in Limassol, Cyprus, last week was a keynote speech by Demetra Kalogerou, Chairwomen of CySEC, the country’s financial regulator. Her involveme...

      Cappitech Releases EMIR Regulation Dashboard to Power Reporting Analysis

      To be publicly displayed at the iFX EXPO in Limmasol, Cyprus, Cappitech is launching a dashboard to provide visual analytics to help customers gain more insight from the Capptivate EMIR...

      Building reference and benchmark data isn’t easy – MiFID II officially delayed until 2018

      The European Council (EC), officially announced last week that a one-year delay of MiFID II and MiFIR has been put in place with the two initiatives not expected to take effect until J...

      EMIR regulation debate of single vs double sided derivative reporting reaches EU financial heads

      Should derivative reporting under the EU’s EMIR regulation framework be single or double sided? This has been an ongoing debate since ESMA released their first guidelines for how repo...

      Meet Cappitech at the iFX Expo in Limassol, Cyprus and Learn About EMIR Reporting Automation

      Are you attending the iFX Expo 2016 in Limassol, Cyprus, later this month? If so, let’s meet up. Exhibiting in Booth #89, Cappitech will be attending the yearly event that gathers ...

      Will there be another LIBOR Scandal? New EU Law aims to end rate rigging

      Among areas of finance being overhauled by regulation are rate benchmarks. The entrance of financial regulators to supervise rates is the result of the uncovering of manipulation of rat...

      Will EMIR move from double sided to single sided reporting?

      One of the big gripes against EMIR derivative reporting before and after it was put into effect in February 2014 is its use of double sided reporting. What does this mean, it means that...

      What is an LEI and how do I get one for EMIR Reporting?

      The first process of complying with the European Securities and Markets Authority (ESMA) EMIR derivative trade reporting regulation is securing a Legal Entity Identifier (LEI). A twenty...

      Following Binary Options, Will EU Regulators Focus on Forex and CFDs?

      Reported last Thursday was a circular about fair trading practices related to binary options that was sent by CySEC to entities under its jurisdiction. The circular came days after ESM...

      ESMA Q&A on CFDs/Forex/Binary Options looks at conflict of interest risks

      As binary options and other high risk leveraged products for retail customers have been garnering negative headlines recently, the European Securities and Markets Authority (ESMA) has p...

      Will MiFID II bring the end of in-depth Sell-Side market research?

      In February, implementation of MiFID II got officially pushed back from the beginning of 2017 to January 2018. With the delay, financial firms receive more time to prepare for the upcom...

      What are the potential fines for EMIR Reporting Violations?

      Put into effect on February 2014 and under the auspices of the European Securities and Markets Authority (ESMA) are transactional reporting requirements for over the counter (OTC) and ...

      Do non-finance corporates need to fulfill EMIR reporting requirements?

      The unfortunate truth is that unlike MiFID trade report regulations that went into effect in 2007 and was directed at financial firms, even non-financial firms in the European Economic ...

      EMIR OTC derivative reporting Trade Repositories, who they are

      Starting in 2014, the EU, under the watch of ESMA, put into effect trade reporting requirements for OTC derivative trades called EMIR reporting (EMIR overview here). As part of the proc...

      EMIR Reporting summary: Who, when, what and where?

      At Cappitech, we created Capptivate to automate the EMIR reporting requirements for brokers, corporates, asset managers and hedge funds. But what exactly is EMIR and why do I need an au...

      Do forex brokers have to report spot FX trades under EMIR?

      When the EU introduced EMIR reporting of OTC derivative trades in 2014, one of the questions many had was the status of spot FX trades. For online forex brokers, spot FX is the foundati...

      Goodbye boring meetings, hello Agile – Implementing the daily stand-up

      How many times have you sat down for a company meeting and most of everyone is fiddling with something? Their phone, scribbling on a paper, taking that zillionth sip on a cup of coffee ...
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