JPM Fined $800K for Surveillance Failure

Busy?  Yea, us too.  It’s been a crazy couple of months. Besides MiFID II projects, BroadPeak is rolling out a whole bunch of new stuff at the end of summer!  More on that in a bit…

JP Morgan got fined $800,000 for trade surveillance failures.   There’s some commentary HERE and the actual settlement HERE.  While this […]

By |August 14th, 2017|Uncategorized|Comments Off on JPM Fined $800K for Surveillance Failure

Position Limits and Transaction Reporting Webinar

Further to the very successful legal and operations focused webinars we completed with Katten Muchin Rosenman LLP on MiFID II limits and transaction reporting BroadPeak will now be holding a webinar on how technology solves these challenges.  The presenters will give best practices for meeting these regulatory challenges efficiently with technology and also give a […]

By |May 3rd, 2017|Uncategorized|Comments Off on Position Limits and Transaction Reporting Webinar

The Long Arm of MiFID II Limits

No matter where you are in the world-  Irrespective of whether you fall under MiFID II –If you trade commodities in Europe you are subject to MIFID II limits.

This and so much more in the webinar below.

By |April 27th, 2017|Uncategorized|Comments Off on The Long Arm of MiFID II Limits

MiFID II Webinar Q&A With AIMA, Katten and Broadpeak

AIMA, BroadPeak and Katten Muchin Rosenman had a great webinar and Question and Answer session last week on MiFID II transaction reporting and position limits.  We had just over 350 attendees and could not quite get to all the questions.  So, we have put our heads together and are publishing the first set of questions […]

By |March 28th, 2017|Uncategorized|Comments Off on MiFID II Webinar Q&A With AIMA, Katten and Broadpeak

Enterprise Technology | Stop | Clear Your Mind

Name 3 technologies (software, open source, other)  that made a significant positive impact for the enterprise in 2016.

Corporate IT departments are a tough place to be these days. On the one hand IT departments are constantly hammered by the business to execute, execute, execute.  On the other hand they are handcuffed by some “Cargo Cult” […]

By |February 27th, 2017|Uncategorized|Comments Off on Enterprise Technology | Stop | Clear Your Mind

CFTC- Hail Mary?

It has been a busy seven days in the world of regulatory position limits. First a new MiFID II position limits RTS was released as reported here and the CFTC re-proposed their own ‘Dodd-Frank’ limits regime. Most international firms will have to comply with both.  So why has the CFTC limits announcement being getting so […]

By |December 8th, 2016|Uncategorized|Comments Off on CFTC- Hail Mary?

MiFID II- Data Validation

Validation. There is a reason everyone is talking about it.  If you do it wrong, your compliance personnel start pulling their hair out.   As far as ESMA, Dodd-Frank and MiFID II trade reporting we are clearly in a world that is moving from low validation to one that is highly validated.

Com-Sci 101:  Four Categories of […]

By |December 2nd, 2016|Uncategorized|Comments Off on MiFID II- Data Validation

The Demise of Delegated Reporting- MiFID II

Trade Reporting.  Ask anyone on the sell side or in commodities or derivatives about MIFID II and you will probably get a pretty solid “been there, done that”.  Dodd-Frank, EMIR, REMIT, Canada; MIFID II does not look so bad.  Sure, a few wrinkles like T+0 transparency reporting, but other than that we are probably good […]

By |November 9th, 2016|Uncategorized|Comments Off on The Demise of Delegated Reporting- MiFID II

The 4 Biggest Trading Limits Mistakes

It’s been wisely said before that “Little details have special talents at causing big problems”.   In time for Dodd-Frank and MiFID II limits we have just rolled out a new version of K3 limits.  

We just rolled out a new […]

By |September 19th, 2016|Uncategorized|Comments Off on The 4 Biggest Trading Limits Mistakes

Building Server Empathy – Broadpeak’s Guide to WebSockets

While building an application, I recently encountered a situation where I needed to use WebSockets. Among other things, the application fits a row from the database (43 columns) into a row in the Facebook FixedDataTable (FDT), which is a Javascript library for displaying tabular data.

A problem occurred when the client requested too many records, […]

By |August 16th, 2016|Architecture, Technology, Uncategorized|Comments Off on Building Server Empathy – Broadpeak’s Guide to WebSockets
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