John Cant Managing Director at MPI Europe Ltd
I attended the Substantive Research Unbundling Uncovered MiFID research conference this week. The panels at this event were made up of a mix of market participants and vendors. The mix made for some entertaining exchanges between brokers and investment managers on the true value of research. One broker opined that some asset managers may feel that...
13 November 2019 /regulation MiFID
Anne Plested Regulation at ION Markets
Last week, the U.S. Securities and Exchange Commission announced an extension of their no-action letter regarding the European Union’s investment research rules. This extension helps both SEC regulated brokers and their European counterparts to the ultimate benefit of EU investors. In Europe, significant industry progress has been made in managin...
12 November 2019 /regulation
Bo Harald Chairman/Founding member, board member at Trust Infra for Real Time Economy Prgrm & MyData,
Speach to students and supporters at Aalto University innovation workshop. Dear innovators, We are now entering a very fascinating era – the data-driven economy - where so many megatrends converge. You are to be congratulated to have so many opportunities to change the world for the much better. Many opportunities to create and share important ...
11 November 2019 /regulation Fintech
Marc Gratacos Founder and Managing Partner at TradeHeader
Background With the European Union’s Securities Financing Transaction Regulation (SFTR) countdown clock ticking, the industry is awaiting the official publication by International Organization for Standardization (ISO) of the ISO 20022 format for the standardised reporting of securities financing transactions. The goal of the SFTR is to enhance t...
07 November 2019 /regulation Capital Markets Technology
Retired Member
Earlier this year, the European Banking Authority (EBA) issued its Guidelines on Outsourcing Arrangements, which highlighted areas of risk to banks and other financial organisations, relating to outsourced contracts. When we think of the potential risks of outsourcing, we tend to think about vulnerabilities that might lead to a cyber attack or bre...
05 November 2019 /regulation Financial Services Regulation
Today, financial organisations are operating in highly dynamic business environments and are continually faced with disruptions that are both high-impact and frequent. These disruptions can come from many different angles and the challenges presented by them have significantly increased the non-financial risk to businesses. The financial losses an...
04 November 2019 /regulation
By Joseph M Quiazon, Managing Director and Head of Financial Crime Compliance, APAC, Exiger Information is the lifeblood of financial crime investigations. Financial intelligence units (FIUs) depend on access to quality information to inform an effective customer identification program, conduct investigations, build intelligence capabilities and u...
31 October 2019 /regulation Innovation in Financial Services
Rodrigo Zepeda CEO at Storm-7 Consulting Limited
1.1 Introduction This blog will provide an analysis of the $20 million fine imposed on The Options Clearing Corporation, and a critique of the Orders imposed by the United States Securities and Exchange Commission and the United States Commodity Futures Trading Commission. The first part will cover the Order made by the Commodity Futures Tr...
29 October 2019 /regulation OTC Derivatives and Central Counterparty Clearing
Strong Customer Authentication Across the European Union (EU) the original revised Payment Services Directive (PSD2) Strong Customer Authentication (SCA) final implementation date of 14th September 2019 has now been delayed by the European Banking Authority (EBA). It was previously noted that those in breach of the SCA law would have to provide a f...
27 October 2019 /payments /regulation The future of Payments in Europe
Espen Skogen Co-founder at RocketFin
New regulations arrive regularly, and there are a few common themes we see across financial services. Regulations are political creations, implemented in law and thus tend to be light on detail of HOW, but will often be very clear on what the outcome should be. The ‘implementation' detail is often left to the likes of FINRA, ESMA and similar agenc...
24 October 2019 /regulation
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