28 July 2016

Chris Pickles

Chris PicklesPicklesnet Ltd - Waterlooville

Using instrument identifiers to reduce latency

27 January 2016  |  3006 views  |  0 comments | recommendations Recommends 0

At a reception with Asia/Pac exchanges hosted by BT yesterday, one of the topics of discussion among the attendees was, as so often, that of latency. While investment firms, exchanges and vendors have spent massive amounts of effort focusing on the technology involved - the "T" in "IT" - thinking is now moving forward around t...

TagsTrade executionPost-trade & ops
Chris PicklesPicklesnet Ltd - Waterlooville

MiFIR: How ISINs Work: 5

11 December 2015  |  2005 views  |  0 comments | recommendations Recommends 0

What happens if an ISIN issuer for a country hasn't issued or doesn't want to issue ISINs for some asset classes or instrument types? What if a country has no official ISIN issuer? That's where "Substitute Numbering Agencies" (Substitute NAs) have a special position. For territories that do not have an ISIN National Numbering Agency, t...

TagsRisk & regulationPost-trade & ops
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Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

MiFIR: How ISINs Work: 4

09 December 2015  |  1798 views  |  0 comments | recommendations Recommends 0

Who can issue ISINs? You might think that any stock or derivatives or commodities exchange can issue ISINs for the instruments traded on their platforms - but they can't. ISO has nominated one Regis...

TagsRisk & regulationPost-trade & ops
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

MiFIR: How ISINs Work: 2

02 December 2015  |  2893 views  |  0 comments | recommendations Recommends 0

Who allocates ISINs to financial instruments? You could easily get half-a-dozen different answers based on the assumptions of people in financial markets. As a starting point, ISINs are not issued b...

TagsRisk & regulationPost-trade & ops
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

MiFIR: How ISINs Work: 1

01 December 2015  |  2353 views  |  4 comments | recommendations Recommends 0

Many people in the market seem to have a misunderstanding about what ISINs (International Securities Identification Numbers) are, how they work and what they can be used for. That misunderstanding ha...

TagsRisk & regulationPost-trade & ops
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

How will invest firms send transaction reports to ARMs?

20 October 2015  |  1677 views  |  0 comments | recommendations Recommends 0

The Approved Reporting Mechanism (ARM) approach used for Transaction Reporting in the UK has been unique across Europe. While MiFID I required investment firms to report equity transactions to regula...

TagsTrade executionRisk & regulation
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

Slippage, compliance and CMU: who pays?

14 October 2015  |  1730 views  |  0 comments | recommendations Recommends 0

I’m at a regulatory roadshow in Frankfurt today, and one of the “big numbers” that has been mentioned is the total cost of the fines that have been charged against financial institutions in different ...

TagsRisk & regulationPost-trade & ops
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

Can you trust Corporate Actions notifications?

05 June 2015  |  447 views  |  0 comments | recommendations Recommends 0

Twenty years ago I had to help put together an exchange’s solution for broadcasting corporate actions notifications to the world. That was before everyone used email, so we had to rely on faxes from ...

TagsSecurityPost-trade & ops
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

US Financial Transparency Act 2015 - a direction to follow?

21 May 2015  |  4625 views  |  0 comments | recommendations Recommends 0

The introduction today of the US Financial Transparency Act 2015 is a reflection of a fundamental need for change that is gaining recognition around the world – a need for greater transparency, standa...

TagsRisk & regulationPost-trade & ops
Chris Pickles
Chris PicklesPicklesnet Ltd - Waterlooville

E-Identification is the next major crossroads

11 June 2014  |  1479 views  |  0 comments | recommendations Recommends 0

One of the most important topics addressed here at EBAday this week has been E-Identification. It's the kind of topic that could be swept into the "techy" drawer by many bankers, but it's pr...

TagsSecurityRisk & regulation
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