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Reference Data Review Special Report: Risk & Compliance

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RDR Supplement February 2008 Meeting risk and compliance requirements has always been a driver for investment in improved management of reference data, but the importance of risk and compliance has never been higher than in the current environment. The reference data challenges created by MiFID were many and complex, and dealing with them is an ongoing challenge for financial institutions. Meanwhile the regulatory burden is only growing. And can efficient management of risk – by instrument type and by counterparty – ever have been more important than it is post sub-prime?

In this special report we have brought together contributions from a number of key providers, enabling them to explain to you how they can support you in your efforts to create world class compliance and risk management capabilities.

Participants include:

RDR Special Report: Risk & Compliance (665.4 KiB)

12 Mar 2008

Karachi Stock Exchange Signs MoU with Dubai Financial Markets…

The Karachi Stock Exchange has signed a memorandum of understanding (MoU) with the Dubai Financial Market (DFM) to share best practices in technology and with the aim of encouraging listed companies in both stock markets to cross list their equities. The deal was brought about by the Pakistan Business Council in the UAE and will, hope both parties, encourage the development of both financial markets with increased investment in both countries.

10 Mar 2008

… While Vietnam’s Hochiminh Exchange Signs Similar With Deutsche Börse

Vietnam’s Hochiminh Stock Exchange has signed a memorandum of understanding (MoU) with Deutsche Börse Group, which will see the exchanges co-operate on the dual development of securities markets in Vietnam and Germany, as well as exploring bilateral business opportunities.

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10 Mar 2008

Podcast - What’s Hot for 2008 in Reference Data?

Podcast Graphic Welcome to ReferenceDataReview.com’s inaugural podcast! Periodically we bring you brief audio updates on what’s happening in the world of reference data.

In this episode:

(1) Reference Data Review’s Take on “What’s Hot for 2008″

Thea George, Editor of Reference Data Review newsletter and Editorial Director for A-Team Group, produces her crystal ball and discusses:

The impact of the subprime crisis on reference data projects
Tigthening budgets and outsourced/managed reference data services
Investments in data and data management, particularly the complex products

(2) News from the Reference Data marketplace

ICMA Market Services Division…IBEI…Swift…S&P…and more!

(3) Information about ReferenceDataReview.com’s new website

White papers, polls, podcasts and more!

Running time: ~7 minutes

Click the play button below to listen now:

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28 Jan 2008

Surviving the Liquidity Crisis with Enterprise Data Management (EDM)

Written by: Neil Edelstein, Senior Director, Product Development, GoldenSource Corporation. Throughout the boom in complex leveraged and collateralized debt instruments, high yields have all but blinded investors to the significant risk. Now that the market has turned sour, and lenders are calling in the debts, investors are learning the hard way exactly how CDOs and other exotic instruments unravel.The market will survive this crisis, but not without a few major casualties. To avoid becoming another Herstatt or Barings, institutions need a comprehensive understanding of all the debt they hold, and of all the related information on customers, counterparties, issuers and collateral. With a clear view of both their exposure to risk and the collateral they can offset against that risk, institutions can weather the storm and prove their viability to the market.

This 6-page document provides a strategy for surviving the current crisis by harnessing the benefits of Enterprise Data Management.

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28 Jan 2008

How Much are You Spending on Reference Data in 2008?

Trend Graphic ReferenceDataReview.com is conducting a poll of our site users asking this question:

Will your institution’s spending on reference data in 2008 be higher, lower, or the same as last year?

Please take a moment to answer our question. You’ll find the poll on the right side of any page in the ReferenceDataReview.com website. We’ll post the results in this space upon completion.

20 Jan 2008

Syn~ Scalability Benchmark

Summary

This document describes an exercise to measure the scalability and performance of the Syn~Settlements application upon a Linux/HP platform. The results recorded include:

~ demonstrated scalability consistent with a linear model;
~ peak throughput of the scalable system at 77K trades per hour;
~ demonstrated efficacy of quad-core processor architectures as a means of scaling the database tier;
~ maximum throughput recorded on six CPUs was 105k trades per hour.

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03 Jan 2008

Is SOA a Risky Business? By Steve Craggs, Director of Lustratus (www.lustratus.com)

More and more companies see service-oriented architecture (SOA) as a strategic imperative that can transform business operations, delivering flexibility and agility, a more cost-efficient IT organisation and improved alignment of IT to business goals. But for such a major initiative, it is surprising that more focus is not placed on its impact on business risk. If a company is going to go to the trouble of not only putting in place the infrastructure and project budgets to deliver SOA, but also to tackling the organisational and procedural transformation required to optimise SOA benefit, surely it is worth considering the risk implications.

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01 Oct 2007

Enterprise Data Management Goes Strategic

Next Generation EDM Must Support Financial Services Workflow – Globally

A-Team Group, a publishing, research, and consulting company specializing in financial information technology, was commissioned by Reuters, a leader in delivering financial data and services, to help capture the financial services industry’s current views on enterprise data management (EDM). Specifically, A-Team’s study endeavored to uncover:

How the industry is incorporating EDM in its business processes,
What characteristics are priorities for forward-thinking EDM implementation to be effective,
Where components are readily available, and
If there is consensus on required change needed for the future.

The overarching objective of the study was to gain insight on whether financial institutions’ thinking on EDM has evolved over the past few years. If so, what is driving growth of EDM solutions? Is EDM a source of competitive advantage for financial institutions and/or a requirement to manage firms in an environment of mounting regulation? Is it necessary for proactive risk management…

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20 Sep 2007

Connecting the Reference Data Dots

Managing Risk and Exposure through Linking Aggregated Position Data

A-Team Group, a publishing, research and consulting company specialising in financial information technology, was commissioned by Enterprise Data Management specialists, GoldenSource, to conduct a series of three studies focused on specific challenges faced by global reference data managers:

The current state in managing instrument data in reference data master files
The growing importance of linking counterparty data into the security master
The industry status in connecting positions/holdings data with reference data

This report, the third and last in the series, summarizes the growing importance of linking position data into the securities and reference data master. As with A-Team’s predecessor study – the counterparty report – it highlighted topics on positions data, as well as draw connections across the overall study. This report is focused on positions data and how it relates to reference data management and the Securities Master File. GoldenSource and A-Team hypothesized that the current environment is placing new demands on financial services firms’ understanding of this data in overall business practices, and we set out to validate this theory…

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15 Sep 2007

New Wave for Counterparty and Client Data

Traditional Methods Make Way for Proactive Risk Management & Compliance

The current state in managing instrument data in reference data master files
The growing importance of linking counterparty data into the security master
The industry status in connecting positions/holdings data with reference data

The participants in this second study were senior-level individuals responsible for counterparty and or customer data quality and availability throughout the enterprise, and they had a close proximity to operations. They were involved in developing – as well as implementing and operating – the strategy for data management in these areas. Specifically, study participants held a range of job roles and responsibilities encompassing compliance, risk, securities master, client, counterparty, and/or SSI data management for organizations that could cover a hundred or more jurisdictions of operation…

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01 Sep 2007

Static Instrument Data Becomes Dynamic

OTC Derivatives, Securities Linkages, Shake Up Instrument Data

The current state in managing instrument data in reference data master files
The growing importance of linking counterparty data into the security master
The industry status in connecting positions/holdings data with reference data

In this first of three studies, A-Team observed the shift towards centralizing data management to support the enterprise is well underway, now supported – if not initiated – by senior management. There was, however, a clear message across the industry that firms are still facing challenges. In the lead is the challenge of ensuring consistency and quality of instrument data consumed across the enterprise in the current environment…

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01 Jun 2007

Buyer Persona: The Influence Behind Data Management Decisions

A-Team Group, a publishing, research and consulting company specializing in financial information technology, was commissioned by SunGard to conduct a study that would capture what is driving firm-wide reference data decisions globally. Specifically, the goals of the study were to assess global trends in data management across end-user groups, roles, responsibilities, including:

Attitudes of executives responsible for data management
Triggers, factors, and processes for purchasing decisions
Driving priorities in improvements in data management.

A-Team Group held structured discussions with more than 34 senior individuals involved in reference data management in 32 firms located in North America and Europe…

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01 Jun 2007

Thomson to Reverse Reuters into Financial Unit Creating Market Data Giant to Take On Bloomberg

It’s the biggest story in the market data business. So why doesn’t it feel like it?

The answer probably lies somewhere in the surprise factor in Thomson Corp.’s £8 billion offer to acquire Reuters, in the ‘reverse’ nature of the proposed deal itself, and in the fact that most people in the industry – though they may not acknowledge it – are held in a kind of awe at the cleverness of the proposed arrangement.

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01 May 2007

Fixed Income Pricing: Are Evaluations Gaining Value?

Fixed income instruments have always been difficult to price because of their diversity, volume and features, and not least because they continue to be predominantly traded over-the-counter and in many cases illiquid. And the increasing complexity of instruments, including the growing acceptance of derivatives, and tightening regulations are all putting further pressure on sources of fixed income pricing data.Given this landscape, how are financial institutions coping with the demands for pricing of fixed income securities? And given the illiquidity of many instruments and the dearth of contributed pricing sources in many areas, are evaluations gaining credibility as a pricing source?

We set out to find out:

What are the institutions’ high level needs and preferences in fixed income data and what industry trends are driving these needs?
What are their preferences for sources of data (brokers, vendors, selected exchanges, internal, others) and source types (contributed, evaluated, other) and why?
Is evaluated pricing gaining credibility, generally and in Europe in particular?
What is the perception of the current quality of third-party data available?
What gaps in coverage exist in today’s data sources, and what are the priorities for filling them?
What are the key factors of consideration in selecting data sources?
And much more…

These are questions we were keen to ask our devoted Reference Data Review readers and other data managers when we embarked on our fixed income pricing data survey, commissioned by Reuters…

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01 Nov 2005

Reference Data Review’s Outsourcing Survey

A glimpse into the financial services outlook towards the value of outsourcing reference data

Is outsourcing for reference data management an idea whose time has come? This is a question we were keen to ask our faithful Reference Data Review readers and other data managers when we embarked on our data management outsourcing survey. We turned to the industry for the latest sentiment on value add of data outsourcing and conducted one-on-one interviews with sell-side, buy-side and custodian firms in the U.K., Mainland Europe and the U.S. to understand their current reference data strategies.

Are these data managers willing to consider it for their data management processes? If so, what’s motivating them now? Are there consistent themes across the industry? What data types and functions would they consider outsourcing, and why would they not consider other data types or functions? What do they think are the benefits of outsourcing, and what are the barriers that could be holding them back from accepting managed reference data services? How does the view differ among sell-side, buy-side and custodian firms?

The survey was commissioned by enterprise data management provider SunGard Data Management Solutions, and designed and conducted by A-Team, a leading research and analysis company focusing on the use of information technology in financial markets…

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01 Jun 2005

Reference Data Now: Business Drivers & Approaches to Data Management

Want to know what 100 of the most influential reference data and IT managers say are the key drivers for securing investment into reference data and its management? Or how different financial institutions are approaching the challenge of effectively managing data across the enterprise and what progress they’ve made over the past two years? Or what they really think of issues like data quality, budgets, ROI, and more? So did we. Which is why we embarked on an in-depth and wide-ranging survey covering over 60 questions in order to get inside the mind of the thought leaders and hands-on managers in the industry. Now you can access our full findings in our complimentary report by registering for your free download.

The survey was commissioned by global information company Reuters, and designed and conducted by A-Team, a leading research and analysis company focusing on the use of information technology in financial markets.

The findings are contained in a report, Reference Data Now: Business Drivers & Approaches to Data Management, which is probably the industry’s most authoritative discussion on the current state of the reference data business for the past few years…

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01 Nov 2004

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A-Team's flagship news and analysis publication, with the best of A-Team's coverage of the Electronic Trading, Low-Latency Connectivity, Market Data, Reference Data and Risk Management Technology segments. With in-depth features and interviews with key newsmakers, A-Team Insight gives busy financial IT executives all they need to know to stay on top of our fast-moving industry.

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