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OTC Derivatives Reform & Compliance - Fenergo

OTC Derivatives Reform & Compliance

Given the global nature of investment banking and capital markets, financial institutions are tasked with complying with a full spectrum of regulations simultaneously, each with their own evolving implementation timeframes.


OTC Derivatives Reform & Compliance

In an effort to enhance transparency in the over-the-counter (OTC) derivatives market, promote financial stability and support the detection and prevention of market abuse, the Group of Twenty (G20) nations agreed to introduce a series of regulatory reforms. These OTC Derivative regulations promise sweeping changes for all financial institutions, fundamentally altering the structure of the OTC derivatives market and impacting the way financial institutions conduct their business.

Specifically, this chaotic regulatory landscape has the potential to significantly affect the operations, data capture technology, workflows and operational efficiencies of financial institutions across the world. 

OTC Derivatives Across the World

Fenergo supports investment banks and capital market firms to navigate through the challenges and comply with the obligations of global and local OTC Derivative regulations such as:

Fenergo promotes a rules-driven, risk-based approach to managing multiple, cross-jurisdictional regulatory, data and documentation obligations simultaneously. It achieves this by identifying and leveraging synergies across regulations. In this way, up to 70-80% of the regulatory compliance obligations can be met with a cohesive effort (across data, documentation, technology), leaving only a small delta to be managed. By streamlining the regulatory, data and documentation processes, Fenergo’s Regulatory Compliance and Regulatory Onboarding software solutions help financial institutions to remove a lot of the complexity around OTC derivative reform, enabling them to:

  • achieve compliance,
  • avoid reputational risk and financial penalties;
  • maintain competitive advantage.

Useful resources


Regulatory Landscape for Capital Markets in 2015

On a whole, 2014 will be remembered as the year when regulators started to flex their muscles, levying a record number of fines and promising to become more involved at an earlier stage, making many financial institutions finally sit up and take notice. In this paper, we discuss what we expect for regulation in the year ahead.

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Client & Counterparty Data Management


Case StudiesDownload

Regulatory Onboarding for Global / Capital Markets