Join the Community

21,469

Expert opinions

43,716

Total members

378

New members (last 30 days)

131

New opinions (last 30 days)

28,520

Total comments

Join Sign in

Financial Services Regulation

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.

originally founded 01 Jul 2010

The owner has left this group
Become the owner

Join group Write an opinion

Steve Morgan Banking Industry Market Lead at Pegasystems

Consumer Duty’s first anniversary – reflections and the road ahead

A year ago, the Financial Conduct Authority (FCA) introduced the Consumer Duty standards, a set of rules which aimed to improve and increase consumer protection for the financial sector. These required banks and other financial services firms to prioritise their customers and offer them products and services with transparency and fairness. Failure...

31 July 2024 /regulation

Rinesh Patel Global Head of Industry, Financial Services at Snowflake

DORA: The implications and opportunities facing financial services

The Digital Operational Resilience Act (DORA) is set to come into force on the 17th of January 2025, aiming to strengthen the resilience of financial institutions against ICT-related incidents in five key areas: ICT risk management, ICT-related incident management, digital operational resilience testing, ICT third-party risk management and informa...

29 July 2024 /regulation

Mark Nutt Senior Vice President, International Sales at Veritas

How FS organisations can navigate the ever-evolving compliance landscape

For businesses operating in the financial services (FS) arena, data has never been more important than it is today. When leveraged effectively, data holds the key to increased profit, boosted productivity, and improved customer service. Conversely – as we have seen with recent global disruption to the financial sector and may other verticals relia...

23 July 2024 /security /regulation

Steven Rackham CTO for Financial Services at NetApp

Why the advantages different sized businesses have in DORA compliance shouldn't be overlooked

The deadline for organisational compliance with DORA is at our doorstep. With the 17th of January 2025 just under 6 months away, it’s safe to say that the clock is ticking for financial services to be ready for the regulation. Preparing for such a significant piece of regulation can be difficult for financial organisations of all sizes, but it is ...

04 July 2024 /security /regulation

Guy Melamed CEO at Exberry

Recent European Elections And Their Implications On Capital Markets

The elections for the European Parliament, held between 6th and 9th of June, could end up significantly impacting capital markets on the continent. This juncture could have the effect of reshaping regulatory landscapes, influencing market stability and altering cross-border economic activities. The shift to the far right in the elections saw a

18 June 2024 /markets

Simon Luke UK Country Manager at First AML

The c-suite confidence crisis: why anti-money laundering needs to be a boardroom issue

When you think of money laundering, you may picture an underworld of hidden criminals doing dark deeds. You may also think of the real world consequences, which can result in the exploitation of vulnerable people across the globe. Clearly, our collective goal needs to be disrupting the flow of dirty money wherever possible. With such high stakes, ...

22 May 2024 /regulation /crime

Robert Houghton Founder at Insightful Technology

Three steps to ensure accurate compliance evaluation

Remaining compliant in today’s financial landscape is no easy feat. Every call, message, communication and snippet of information shared between employees, customers and trading partners must be captured, stored and monitored to prove compliance. To regulators, every financial institution is potentially guilty of wrongdoing, until proven innocent....

15 March 2024 /regulation

Nitya Srinivas Domain Consultant at TCS

UK Pension Dashboard – Opportunities to enhance customer experience

Abstract The current macro-economic situation and high inflation has made individuals concerned whether their savings and pensions will be adequate for a comfortable retirement income. This concern is compounded by the fact that there is no consolidated view available to them across all the pension plans and no simple way to trace “lost” pensions....

30 January 2024 /regulation

Luigi Wewege President at Caye International Bank

Navigating the Grey Zone: The Double-Edged Sword of Anonymous Messages in Market Dynamics

Information has become as valuable as currency in the current financial sector globally, especially in investment circles. As such the impact of anonymous messages on market dynamics has become a topic of immediate concern. Recent events have thrust this issue into the limelight, highlighting the urgent need for a deeper understanding of how undis...

29 January 2024 /regulation /markets

Robert Houghton Founder at Insightful Technology

Top four compliance trends to watch in 2024

As financial institutions gear up for the next 12 months, it’s time to reflect on the key trends and developments, considering how they’ll shape the year ahead. While the financial landscape is constantly evolving, we believe there are four important issues that will shape 2024: 1. AI-powered compliance AI and automation are the buzzwords of the y...

21 December 2023 /regulation /predictions