operational and regulatory considerations
Educational articles in this subcategory.
Training Programs for Derivative Users
# Training Programs for Derivative Users Training programs ensure that derivatives professionals have the knowledge and skills to perform their r...
Third-Party Vendor Management
# Third-Party Vendor Management Derivatives trading operations rely on numerous third-party vendors for trading systems, market data, clearing se...
Swap Execution Facilities and Designated Contract Markets
# Swap Execution Facilities and Designated Contract Markets The Dodd-Frank Act created swap execution facilities (SEFs) to bring transparency and...
Role of Clearinghouses and the OCC
# Role of Clearinghouses and the OCC Clearinghouses serve as central counterparties (CCPs) that stand between buyers and sellers, guaranteeing tr...
Reporting Trades Under Dodd-Frank
# Reporting Trades Under Dodd-Frank The Dodd-Frank Act requires comprehensive reporting of swap transactions to swap data repositories (SDRs). Th...
Regulation Best Interest and Derivative Sales
# Regulation Best Interest and Derivative Sales SEC Regulation Best Interest (Reg BI) establishes a standard of conduct for broker-dealers when m...
Recordkeeping and Surveillance Obligations
# Recordkeeping and Surveillance Obligations Financial firms trading derivatives must maintain comprehensive records of trading activity and cond...
Operational Risk in High-Volume Options Trading
# Operational Risk in High-Volume Options Trading High-volume options trading environments process thousands to millions of trades daily, creatin...
Onboarding New Counterparties
# Onboarding New Counterparties Counterparty onboarding establishes the legal, operational, and credit framework for derivatives trading relation...
Model Governance and Controls Requirements
# Model Governance and Controls Requirements Model governance establishes the framework for developing, validating, and monitoring quantitative m...
KYC and AML Considerations in OTC Markets
# KYC and AML Considerations in OTC Markets Know Your Customer (KYC) and Anti-Money Laundering (AML) programs are essential controls for OTC deri...
Internal Audit Checklists for Derivative Programs
# Internal Audit Checklists for Derivative Programs Internal audit provides independent assurance that derivative trading controls are operating ...
Glossary: Regulatory and Operational Terms
# Glossary: Regulatory and Operational Terms This glossary provides definitions for key regulatory and operational terms used in derivatives trad...
EMIR and MiFID Considerations for US Firms
# EMIR and MiFID Considerations for US Firms US firms trading derivatives with European counterparties must navigate both the European Market Inf...
Disaster Recovery for Trading Desks
# Disaster Recovery for Trading Desks Disaster recovery planning ensures derivatives trading operations can continue or rapidly resume following ...
Derivative Trade Lifecycle from Order to Settlement
# Derivative Trade Lifecycle from Order to Settlement The derivative trade lifecycle encompasses all stages from initial order placement through ...
Cybersecurity Considerations for Derivatives Teams
# Cybersecurity Considerations for Derivatives Teams Derivatives trading operations face significant cybersecurity risks due to high-value transa...
Compliance Testing for Position Limits
# Compliance Testing for Position Limits Position limits restrict the number of contracts a trader or entity can hold in a particular commodity o...
Collateral Optimization Strategies
# Collateral Optimization Strategies Collateral optimization involves allocating available assets to meet margin requirements at the lowest possi...
Accounting Standards ASC 815 Overview
# Accounting Standards ASC 815 Overview ASC 815 (Derivatives and Hedging) establishes accounting and reporting standards for derivative instrumen...