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This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.
Shareholding disclosure, the requirement to report holdings in publicly traded companies to regulatory agencies, has been a regulatory obligation for decades. But like most regulatory obligations, fir...
If you’ve been working in and around financial markets long enough, you’ve seen your fair share of volatility and downturns like the one we are experiencing now. In times like this, it is natural to l...
With barely six months remaining before the September 2020 deadline for European Commission’s implementing regulation 2018/1212 for Shareholder Rights Directive II (SRDII), firms operating as financia...
Since the stroke of midnight on 31 January 2020, United Kingdom 'is out', to use the same wording we have seen appearing in London's squares, to mark the country's exit from the European Union. Beyond...
Jokingly dubbed "deal prevention units" by some front-office staff, compliance teams now have the third most-stressful City jobs after that of an investment banker and a trader. Pre-crisis, ...
Created in response to the global financial crisis, the Uncleared Margin Rules (UMR) are one of the most consequential regulatory events for the derivatives industry in recent years. While the rules w...
Anyone who has spent more than a day in the space acknowledges the urgent need for more clarity on a host of issues related to digital assets, which is to say that regulating markets for digital asset...
What does the future holds for Claims Management Companies? The PPI mis-selling scandal saw the emergence of a new industry with the birth of Claims Management Companies (CMCs). Producing riches for C...
2020's FinTech policy cycle started relatively quietly today with an interesting set of FinTech data from De Nederlandsche Bank (the Dutch Central Bank): Working Paper No. 663 "The Economic For...
Yesterday, the UK arm of a large international banking group was fined £44 million for prolonged and pervasive shortcomings in its internal controls and governance arrangements around capital and liqu...
With calendar year end right around the corner, now is a good time to think ahead about the annual review of your firm’s prudential governance arrangements. It’s a good time to sit down with a cup of ...
Earlier this year, the European Banking Authority (EBA) issued its Guidelines on Outsourcing Arrangements, which highlighted areas of risk to banks and other financial organisations, relating to outs...