Join the Community

21,976

Expert opinions

44,115

Total members

453

New members (last 30 days)

169

New opinions (last 30 days)

28,669

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

Steven Rackham CTO for Financial Services at NetApp

From compliance to innovation: the acceleration of DX in FS

The COVID-19 pandemic has helped to drive focus for financial institutions onto systems resilience and operations. Once cast in a role of planning for different worst case scenarios, CIOs have been tasked to help banks continue to service customers in the new ‘stay-at-home’ era, focusing on delivering self-service systems, modernising and enabling...

24 September 2020 /security /cloud

Kirston Winters MD, MarkitSERV at IHS Markit

IBOR transition update: EuroSTR has an August holiday?

After the recent uptick in EuroSTR (a.k.a. €STR) volumes in late July driven by the major CCPs switching from using EONIA to EuroSTR for discounting all Euro OTC interest rate products we looked at August data to see if this was just a blip or whether EuroSTR in fact held its increased share of the market throughout August. In June, prior to the C...

21 September 2020 /regulation /wholesale

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Changes in Foreign Direct Investments Part II

As a follow up to the blog published on 8 June, foreign direct investment oversight continues with several countries issuing new rules or extending previously established rules. While much of this stems from COVID-19 and the uncertainty of market stability, it also speaks to the lack of trust governments have for their foreign counterparts. Since...

10 September 2020 /regulation /markets

Matt Smith CEO at SteelEye

Why Monitoring News to Detect Insider Trading is Now Essential

As the Covid-19 pandemic continues, global regulators are warning financial services firms that they may need to enhance their trade surveillance activities to ensure they detect potential financial crime and insider trading. During lockdown, the UK Financial Conduct Authority (FCA) voiced concerns about managing insider trading conduct risks with ...

06 August 2020 /regulation /crime

Kirston Winters MD, MarkitSERV at IHS Markit

IBOR transition update: EuroSTR grabs a foothold?

In the latest development in the IBOR transition, on the weekend of July 25th, we saw the major CCPs perform the much-anticipated Euro discounting and price alignment transition from using EONIA to EuroSTR (a.k.a. €STR) for all Euro OTC interest rate products. We understand that all compensation payments have now settled. The question market watch...

06 August 2020 /regulation /markets

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Investing in Sweden - Take Note

It’s July, so naturally, things are starting to heat up here in the northeastern part of the US. Taking a look back at the first half of the year, regulatory organizations were also heating up. I’ve previously written about the need for automation to support global shareholding disclosure obligations due to changes in short position reporting, and...

14 July 2020 /regulation /markets

Retired Member

The Stock Ticker Is the Beating Heart of U.S. Finance. Why Haven’t We Got One?

Since the implementation Mifid1 in 2007, there has been a lot of talk about a pan-European consolidated tape, whether it would benefit the market, how it might operate and why it has not come about without regulatory pressure. Post 2007 when stocks when allowed to trade on multiple exchanges, market participants who wanted to see the full history a...

07 July 2020 /regulation /markets

Mitzi Pryce Senior Consultant at BCS Consulting

Through the looking glass: Why aligning regulatory permissions is key to unlocking profits

2020 is an unprecedented year for business. The global COVID-19 pandemic has decimated economies worldwide and with Brexit looming, the future for UK business is unclear. Just as Alice fell into Wonderland in Lewis Carroll’s Through the Looking Glass, we have fallen down an economic rabbit hole where nothing is certain and everything is possible. ...

25 June 2020 /regulation /covid-19

Adam Krug CLM Ambassador at Pegasystems

Key Questions to Ask When Investing in a Client Onboarding Solution to get it right first time

30 years ago, financial services built everything in-house. Nowadays, with so many off the shelf software products for trading and transaction systems – accounting, HR, CRM to name a few – the challenge now is which vendor to select. In the words of Tony Soprano, “Believe none of what you hear and half of what you see.” When it comes to investing...

24 June 2020 /regulation /crime

Adam Krug CLM Ambassador at Pegasystems

Case Management for solving Fin Crime Risk

2019 saw the FCA dishing out the highest level of fines ever, totalling nearly £400m in a twelve-month period. This included hefty penalties relating to anti-money laundering failings. However, in the FCA’s 2019 thematic review the organisation did provide its recommendations for how banks can better their AML processes, stating, “For an effectiv

09 June 2020 /regulation /crime