You are viewing all posts tagged with "regulation"

Magnus Almqvist

senior product specialist, SunGard's capital markets business

14
May
2012

Regulation and compliance: here to stay

Contributor: Magnus Almqvist

The overarching objective of increasing market resilience and stability during periods of turmoil is shared by most, if not all, market actors. But that is where the agreements seem to end. How to achieve this, and how successful the regulators can hope to be is something that could be debated and discussed endlessly. We certainly had a good go at it during a recent panel discussion at SunGard’s London Industry Seminar, and I made the following observations from the event.... read more

Jeff Naylor

vice president, product services, SunGard’s institutional asset management business

11
May
2012

Cost basis reporting for taxes: should fund companies and their transfer agents be concerned?

Contributor: Jeff Naylor

Collecting cost basis data on equities and ETFs for broker-dealers, and reporting it to shareholders on tax forms, has been a significant challenge. Many broker-dealers have struggled with compiling all of the data including books and records, cost basis reporting systems and tax reporting systems together for the 1099-B IRS form. This form is issuedread more... read more

David Morgan

trading and client connectivity, SunGard’s global trading business

9
May
2012

Capital markets regulation: Time for a rethink?

Contributor: David Morgan

The noise created by the flood of new regulations proposed for the global capital markets, plus the resulting storm of debate, continues to grow louder. I’ve been participating as a technology supplier – but also as a bank depositor, retail investor and pension fund holder. I ask myself how the changes are going to help me: after all, some of the regulatory initiatives - notably MiFID 2 - have the interests of the retail investor as central principles. But as currently framed, I fear that few of the proposals will hit this target, and I wonder whether it’s time for a radical rethink.... read more

David Morgan

trading and client connectivity, SunGard’s global trading business

24
Apr
2012

Regulatory spotlight: ESMA guidelines on automated trading

Contributor: David Morgan

While discussions about the final contents of MiFID 2 seem set to continue for some while yet, the European Securities and Markets Authority has anticipated some important MiFID 2 issues in a set of Guidelines issued on February 24, 2012: Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities.... read more

Colin Day

vice president, SunGard’s banking business

11
Apr
2012

The temperature is rising in Asia

Contributor: Colin Day

So having spent three of the last four weeks in Shanghai, it was time for me to move on over the weekend. Following a 4 ½ hour flight, my flight touched down at Singapore’s Changi Airport Terminal 2, and at 7pm as the plane coasted to a halt the captain proudly announced the outside temperature was 86 degrees. This was nothing to the temperature that, unbeknown to me would be felt inside the baggage reclaim hall.... read more