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Latest /regulation expert opinions

Ivy Schmerken

Ivy Schmerken Editorial Director at FlexTrade Systems

Factor Strategies React to Crisis-Induced Volatility

Given the extreme market volatility and disruptions to the economy caused by the spread of the COVID-19 pandemic, asset managers using factor-based investment strategies have seen their risk exposures shift in unexpected ways. At the same time, factor investing has grown as an approach to screening stocks based on the attributes that drive risk and...

/regulation /markets Hedge Fund Technology

Alessio Balduini

Alessio Balduini CEO at Crif Business Solutions

Covid-19: A Driver for a New Era of Credit Risk and Rating Systems

The emergence of Covid-19 in Wuhan, China last December began a prolonged assault on the most important areas of our lives – our health and our financial wellbeing. Both are intrinsically linked, as we appreciate all too well these days having to endure social isolation as we start to make plans for the transition and recovery periods. Health serv...

/regulation /covid-19 Digital Banking Trends

Brittany Garland

Brittany Garland Executive Director at IHS Markit

Sell-Side Onboarding: How to Turn It into a Competitive Advantage

In the past, onboarding has been overlooked and undervalued, but sell-side organizations are recognizing that the process is critical to their ability to compete for and retain clients. For both the buy sides and sell sides, onboarding has remained a manual, ad hoc process. While other operational areas have benefited from next-generation technolo...

/regulation Operational Risk Management

Anna Monteiro

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

COVID-19 Highlights the Need for Automation in Shareholding Disclosure

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, firms try to manage the burden with manpower first. So, between OMS reports and excel spreadsheets, compliance officers try their best to determine what...

/regulation /markets Financial Services Regulation

Brittany Garland

Brittany Garland Executive Director at IHS Markit

The 5 Onboarding Changes Every Buy-Side Organization Needs to Make

Thinning margins. Growing competition. Tougher regulations. A volatile global political landscape. Higher transactional volumes. Greater transactional complexity. There is no lack of reasons why onboarding has become an increasingly challenging and time-consuming process for asset managers. However, there are steps onboarding teams can do to reg...

/regulation Financial Risk Management

Carlo R.W. De Meijer

Carlo R.W. De Meijer Owner and Economist at MIFSA

Stable Coins and Monetary Policy: towards more instability?

In response to a call last year October by the G20 to examine regulatory issues raised by so-called global stable coin arrangements and to advise on multilateral responses ‘as appropriate’, the Financial Stability Board (FSB) recently published ten high-level recommendations for consultation for effective regulatory and supervisory treatment of st...

/regulation /crypto Blockchain Observations

Anne Plested

Anne Plested Regulation at ION Markets

Wider adoption of MMT encouraged

The Securities and Markets Stakeholder Group (SMSG) recently advised ESMA to promote wider adoption of the Market Model Typology (MMT) post-trade data standards. The SMSG, which facilitates consultation between ESMA, its Board of Supervisors, and stakeholders, is encouraging a wider use of MMT to address MiFIR transparency. The MMT initiative is ...

/regulation /markets MiFID

Retired Member

Retired Member 

What regulators are about to ask about systems and controls even if you dont trade Oil

Around this time last week, one of the main global-oil-price benchmarks, the West Texas Intermediate (WTI) exchange-traded future, traded below zero as the contract for May settlement approached expiry on Monday. This meant that sellers of the contract on that final day of trading were being forced into paying buyers to offload their positions, ra...

/regulation /markets Capital Markets Technology

Peter Bannister

Peter Bannister SVP Governance, Risk and Compliance at MetricStream

How to handle and prepare for unforeseen global risks

In just a matter of weeks, the outbreak of COVID-19 took the world by surprise and upended our economies, businesses, and way of life. In response to the crisis, we have seen companies quickly action business continuity plans and transition to working remotely following the strict lockdown measures imposed by many governments. Over the years, the ...

/regulation /covid-19 Operational Risk Management

Steve D'Souza

Steve D'Souza Business Development at Iress

Boom! CoVid-19 - That put a spanner in the works! Working from homes....

When talking to our clients at the moment they fall into two camps- one for whom the dispersion of staff to a home office environment was a long way down the scenarios on their BCP, and therefore they are having to revamp their world to adapt to the dispersed workforce, and those that see this as an opportunity to “go digital”. I shall return to ...

/regulation /covid-19 Trends in Financial Services

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