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Capital Markets Insights

Capital Markets' Regulatory Burden: The Case for FIBO as a Solution

By Robert Iati, Sr. Director, Capital Markets, Dun & Bradstreet

The financial industry expends so much effort to meet its difficult regulatory requirements that its ability to invest in innovative technologies is severely curtailed. However, many in the industry now find that investments in data standards-such as Financial Industry Business Ontology (FIBO)-may create an improved path to meeting the requirements of BCBS239 and similar regulatory initiatives.

By its very nature, the capital markets industry sells investment vehicles, or 'securities' that are contractual cash flow exchanges rather than tangible merchandise. Capital markets contracts-transaction confirmations, investment deals, clearance and settlement obligations-are filled with data that tie together the sometimes disparate facts that define the agreements between the parties. In order for all parties to the transaction to agree to the terms by which they exchange these contracts, the parties need to ascribe similar meaning to the data in the contract. Simply put, they want to speak the same language.

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The Fact on FATCA: How Third-Party Data Reduces Time, Cuts Costs and Improves Customer Experience

By David Bolner

By its very name, “big data” sounds like something that always makes business more complex. But here’s one instance, from the world of tax compliance, where the opposite is the case.

The Foreign Account Tax Compliance Act, or FATCA, requires foreign financial institutions (FFIs) to report to the IRS information about financial accounts held by U.S. taxpayers, or by foreign entities in which U.S. taxpayers hold a substantial ownership interest. The June 2016 deadline for FFIs to review existing accounts is fast approaching at the same time as many of the institutions are also planning their Common Reporting Standards (CRS) account review approach.

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