Financial Services Regulation

Group founded 01 Jul 2010
Posts 552
Members 60
Group summary

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.

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Retired Member

The role of digital transformation in supporting modern businesses in the financial services sector

Over the past few years, the financial services sector has undergone a complex regulatory evolution. Even past the usual flow of regulation change and shifting reporting standards, there are two key t...

15 Nov 2022
Harriet Christie

FCA New Consumer Duty: The Role of Data Archiving

The UK Financial Conduct Authority’s (FCA’s) latest strategy document sets out its overarching strategy for the next three years, with the new Consumer Duty being the ‘cornerstone’. The long-awaited ...

09 Nov 2022
Anna Monteiro

Foreign Direct Investment Q3 Snapshot

Following up on my 2nd quarter foreign direct investment review, we’ll pick it up in Ireland which set out a new FDI screening rule similar to that of the UK. The Screening of Third Country Transacti...

24 Oct 2022
Pascal Aerens

Sanctions and the friction reduction paradox

Last week, the banking community gathered in person again for SIBOS, the largest global financial services networking event organised by SWIFT. Many sessions focused on reducing friction in payments. ...

23 Oct 2022
Donnie MacColl

New Payment Security Standards Update Lacks Sense of Urgency

As COVID hit businesses around the world, and shops were either closed or no longer accepting cash as the preferred method of payment, we saw a dramatic increase in payment card data volume. Fast-forw...

13 Oct 2022
Harriet Christie

The SEC's New Marketing Rule: How to Stay Compliant and Avoid Big Fines

The U.S. Securities and Exchange Commission’s (SEC’s) Marketing Rule was approved in December 2020 and came into effect on May 4, 2021. From that point, Registered Investment Advisers (RIAs) have had...

14 Sep 2022
Mete Feridun

What do EBA’s final SREP guidelines and RTS mean for investment firms?

The European Banking Authority’s (EBA) final regulatory products with respect to the Investment Firms Directive (IFD) published on 21 July 2022 are expected to harmonise the supervisory practices rega...

13 Sep 2022
Oana Avramescu

Insurance Capital Standard 2.0: A path to regulatory transformation

Sweeping regulatory changes are happening worldwide in risk management. With the imperative to standardize finance for the stability of the global economy – crucial in the wake of COVID-19 and growing...

17 Aug 2022
Mark Aldred

Could the FCA and Fintech Rewrite the Rules for Branch and ATM Cuts?

On 26th July 2022, the FCA ended its consultation on whether its guidance on how banks close branch and ATMs services should be changed. This consultation was significant because it acknowledged curr...

28 Jul 2022
Anna Monteiro

Foreign Direct Investment Roundup Across Europe

Being that the UEFA Women’s Euro 2022 tournament is underway and Wimbledon has come to a close, I’ll devote this foreign direct investment roundup to the region. Plus, there have been quite a few ann...

12 Jul 2022

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