Securities Financing Transactions Regulation (SFTR) Overview


AxiomSL’s strategic data-management platform is designed to help our clients with all current and future global Trade and Transaction Reporting requirements. All data collection, consolidation, validation and submission required for compliance with all transaction reporting regulations and directives is available on our single universal solution.

AxiomSL’s flexible, scalable, and transparent solution provides all the functionality market participants need to comply with the transaction reporting requirements of SFTR. All in-scope trades are identified, aggregated and validated before being reconciled and submitted to the Trade Repository (TR) of choice in the required format. AxiomSL can integrate with other systems from the Securities Financing trading universe. Beyond the challenges of SFTR events, there is potential for greater Return on Data Investment (RDI) by using the solution to tackle the Margin and Reuse file calculations or to manage the resolution of unmatched trades.

AxiomSL’s ‘one platform’ model also supports many other types of regulatory reporting in jurisdictions all over the world. By using the same system for all regulatory reporting needs, AxiomSL can help you reduce the cost and complexity of regulatory compliance. Our platform is available either via on-premise installation or using AxiomSL cloud infrastructure.

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Securities Financing Transactions Regulation (SFTR) Benefits



Securities Financing Transactions Regulation (SFTR) Challenges


SFTR is designed to provide authorities with a comprehensive overview of the market for SFTs and for the identification and monitoring of financial stability risks arising from shadow banking activities. SFTR is expected to go live in Q2 2020.

The trades in-scope for SFTR include repurchase transactions, securities and commodities lending and borrowing transactions, buy/sell-back and sell/buy-back transactions and margin lending transactions. Eligible counterparties to an SFT must report the SFT’s details to a TR upon its conclusion, modification or termination.

Parties reusing financial instruments received under a collateral arrangement will have to disclose the risks and consequences of this action and obtain written consent from the providing counterparty. Managers of Undertakings for Collective Investment in Transferable Securities (UCITS) and Alternative Investment Fund Managers (AIFMs) will need to disclose their use of SFTs and total return swaps to investors in their half-yearly and annual reports and in their pre-investment disclosures.

Similar to the reporting obligation imposed on counterparties to derivatives under the European Markets Infrastructure Regulation (EMIR), the SFTR imposes an obligation on both counterparties to an SFT to report details of the transaction to a TR within one working day of the transaction’s conclusion, modification or termination.

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