In recent years, issues such as money laundering, terrorist financing, fraud, corruption and sanctions legislation have been in the spotlight, this is because these crimes have a great impact on our society. Because these crimes are expressed through our financial system, legislation has been developed for financial institutions to prevent and combat these crimes. [...]
From March 10, 2021, many financial market participants and financial advisors will be subject to new reporting requirements following the entry into force of the EU Sustainable Finance Disclosure Regulation (SFDR) on December 29, 2019. SFDR establishes rules for transparency to promote both the integration of sustainability risks into investment processes and Investor Reporting. [...]
This post discusses regulatory reporting for EMIR and the solution DEX Regulatory Suite offers for this regulation. The European Market Infrastructure Regulation (EMIR) is a body of legislation for over-the-counter (OTC) derivatives, central counterparties and trade repositories. EMIR was introduced by the European Union (EU) as implementation of the G20 commitment to reduce systemic, [...]
This whitepaper discusses regulatory reporting for EBA Stress Test 2020 and DEX Regulatory Suite for EBA. On November 7, 2019 the European Banking Authority (EBA) published the final methodology and draft templates for the 2020 EU-wide stress test along with the key milestones of the exercise. The stress test exercise will be formally launched [...]
The implementation and compliance of transaction reporting and transparency obligations presents investment firms with some difficult choices. Is it better for the company to outsource transaction reporting, either through transmission or through an Approved Reporting Mechanism (ARM), or is it better to share sensitive information as little as possible and send the transaction report [...]
New layout for MiFID transaction reporting in production On September 23, 2019, a new version of the ESMA MiFID II guidelines became the new standard. DEX Data Explorers has updated DEX Regulatory Suite with these new standards. MiFID II is a legal framework established by the European Union (EU) to regulate financial markets and [...]
Statutory reporting for PPIs This post discusses statutory reporting for Premium Pension Institutions (PPIs) and the services Addition Knowledge House provides to support the PPI reporting process. A Premium Pension Institution (PPI) is a pension administrator in the Netherlands, which administers pension schemes and accumulates pension assets, but does not itself bear the risks [...]
This white paper discusses EBA regulatory reporting and DEX Regulatory Suite for EBA. Much financial regulation focuses on Basel III, the regulations that govern global, financial organizations. In Europe, these are collected together in CRD (Capital Requirements Directive) iv. The distinctive feature of CRD iv is that it brings together a whole set of [...]
With the coming into force of SFTR in January 2020, market participants are required to report to Trade Repositories all data pertaining to the securities financing transactions. In particular, reporting is related to Buy Sell Back, Repurchase, Securities Lending and Margin Lending transactions. All data collected by the Trade Repositories will be made available [...]
This white paper discusses the Financial Assessment Scheme (FTK) and the services Addition Knowledge House offers supporting the FTK process. Financial Assessment Scheme (FTK) The Financial Assessment Scheme (in Dutch: Financieel Toetsingskader/FTK) is the supervisory regime that applies as from 1 January 2007 to the financial position and financial policy of pension funds and [...]
