Capital Markets Advisors

Friday, March 20th, 2015 by GEORGE BOLLENBACHER In my last article I reviewed the SEC’s final and proposed rules on transaction reporting by market participants. In this article I will look at the final rule on SDRs, and make some observations on the effectiveness of current and future reporting regimes. The SEC’s final SDR rule is entitled “Security-Based Swap Data Repository Registration, Duties, and Core Principles” and runs some 468… Read More »

Regulatory mandates increasingly are impacting banks’ bottom lines. But regulations such as the Volcker Rule are so complex that capital markets firms simply can’t keep up, notes George Bollenbacher, partner, Capital Markets Advisors. . Click here to check out the interview.

CMA is proud to announce the opening of their second office located in the Times Square district at 1410 Broadway on the 23rd floor; with the cross streets of Broadway and 39th Street.  While our corporate office and first location at 233 East 86th Street remains in place, this additional location allows CMA an even larger presence in NYC as well as fosters increased client interaction on a regular basis. … Read More »

Tuesday, March 4th, 2015 by GEORGE BOLLENBACHER With all the discussion about Dodd-Frank, Volcker Rule, Basel III and EMIR, it’s easy to forget the last piece of the puzzle, Europe’s Markets in Financial Instruments Directive 2, Europe’s Markets in Financial Instruments Regulation, and Regulatory Technical Standards, hereafter known as MiFID II, MIFIR and the attendant RTSs. ESMA has been hard at work drafting all of these, and on February 19th… Read More »