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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.
Supervision of electronic communications is a key component of demonstrating compliance, alongside highlighting market abuse, bad decisions or just a general lack of understanding. But it’s also becom...
Regulations are an ever growing feature of modern day banking arena. The phenomenon of regulatory compliance, though is not new, has renewed implications for these financial institutions by fundamenta...
OVERVIEW In this post, we will consider how Artificial Intelligence (AI), specifically Natural Language Generation, can ensure robust and defensible decision making processes that suffice regulatory s...
OVERVIEW In an earlier post, "What Type of Artificial Intelligence Do You Need?", two paradigms of artificial intelligence are described; deterministic and statistical. Deterministic is si...
The investor is beginning to feel the impacts of increased capital requirements under the Basel leverage ratio according to FIA President and CEO Walt Lukken in his testimony to the members of the U....
My first direct contact with compliance was confrontational. The team had just developed our first internet trading screens and we were excited to deploy them at some beta futures brokers. It was goin...
Love it or hate it video calling is slowly encroaching into our daily lives. With Lloyds announcing last month that it was offering a video service to mortgage customers and other banks quick to claim...
The European Union stress test of clearing houses for derivatives will be published on April 29 according to Reuters. Our clearing houses serve the role of being a buyer to every seller and a seller ...
Traditionally Financial Institutions have been collecting application forms along with the physical supporting documents like Proof of Identity, Proof of Address, Proof of Birth, Certificate of Incorp...
On March 4, 2016 Japan’s Securities and Exchange Surveillance Commission filed a recommendation against Blue Sky Capital Management for market manipulation. The complaint describes a classic case of ...
The timing could not have been better. FATF just published – February 2016, a report that all Compliance Officers of this industry must read, entitled Guidance for a Risk-Based Approach for Money or V...
I think it is very important that every person in the International Money Transfer & Payments (IMT&Ps) industry reads the GAO Report published on February 16th, 2016, entitled INTERNATIONAL RE...