SEC Security-Based Swap Dealer Implementation
The SEC has alerted the industry that finalizing the SBSD rules is a “priority” and that it is working to finalize the rules “expeditiously”. Financial Institutions should be budgeting and planning to start implementations:
- The SEC is expected to implement the Security-Based Swap Dealer (SBSD) rules in the near-term.
- There are significant overlaps between the CFTC Swap Dealer and the SBSD regulations. Leveraging the Swap Dealer implementations will enable financial institutions to implement the requirements cost effectively and efficiently.
- NextGen Strategic Advisors has identified 2,826 discrete SBSD rules to determine the compliance and implementation requirements.
- NextGen Strategic Advisors has mapped the SEC SBSD rules to the CFTC Swap Dealer rules and developed a proprietary NextGen SBSD Accelerator Tool that has been designed based on hands-on experience to assist financial institutions register their SBSDs.
Leveraging Regulatory Investments for Competitive Advantage
- Developing Business Unit Profitability Analyses & Reporting
- Developing Customer Profitability Analyses
- Developing Transaction Profitability Analyses
- Identifying Benefits of Regulatory Driven “Big Data”
- Enhancing Legal Entity and Board Risk Management Reporting
- Improving Profitability / ROE by Determining Optimal Business Mix
- Optimizing Scarce Resources (RWA, Capital, Balance Sheet, Liquidity, Risk)
Regulatory Implementation Refinement
- Streamlining Regulatory Compliance Implementations
- Ensuring Pragmatic Policies & Procedures
- Implementing Regulatory Reports
- Streamlining Operations
- Integrating IT Platforms
Risk Management Services
- Enhancing Risk Management Data Integrity
- Improving Risk-Adjusted Profitability Reporting
- Driving Business Strategy With Risk Management Capabilities
- Refining Policies & Procedures to Meet Pragmatic Requirements
- Advising on Risk Related Regulatory Implementations
- Identifying Risk Management Cost Reduction Opportunities
Finance and Sustainability
- Strategies for Sustainability
- Investing for a Sustainable Future
- Greener Commodity Markets
- Financial Markets Strategies for NGOs