Technology Infrastructures Around Regulatory Compliance

Aviv Handler

Compliance with the requirements of the regulatory environment will almost always require an appropriate technology infrastructure. Other than at the smallest market participant, it is not usually viable to comply with rules such as T+1 data reporting without a functional IT solution to assist with tasks that would otherwise be prohibitively laborious. Each of the “four streams of regulation” outlined in Chapter 2 will often benefit from a structured technology solution, to a greater or lesser degree, at the market participant in question.

The types of system will vary according to the size of both the organisation and the level of compliance required. Thinking about the four streams, it is possible to consider the types of solution required.

    • Data reporting: Reporting systems that take an organisation’s trading data and send it to the appropriate destination.

    • Capital and margining: Systems that optimise the use of capital, make the calculation for margining and manage the process.

    • Risk management: Systems that handle the appropriate processes around the risk management rules.

    • Anti-abuse: Systems that support compliance with “monitoring”

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