4138 Results from /regulation
Shaun Thomas Product Manager at Namescan
It is common practice for AML compliance departments to be traditionally people-heavy and technology inefficient. This is set to change in the next five years or so, with AML compliance departments planning on making large investments into new technology that significantly reduces staff count. Some of the areas that are due for the most change inc...
11 December 2018 /regulation Financial Services Regulation
Neil Crammond risk education & real time market abuse at DIVENTO FINANCIALS
Blockchain has managed to survive 2018 and one cannot help wondering if regulators could of helped establish more confidence in this new currency provider ? Initial coin offerings (ICO) were hurried through without much thought to the market place with little or any governance which provided numerous scandals which sadly made the crypto market l...
10 December 2018 /regulation Blockchain Observations
Alexander Dunaev co-founder at ID Finance
Around 1.7bn people are unbanked according to the World Bank, down from 2.5bn only seven years ago. Considerable progress has been made in just a few years with innovations in fintech taking much of the credit for providing financial services access to almost a billion people. However, 50 percent of adults globally still remain excluded from the t...
05 December 2018 /regulation /inclusion Biometrics
Retired Member
In today’s information age, a daunting challenge for financial organisations of all sizes is determining the right approach to the storage of large volumes of data in a safe, cost-effective, compliant and easy-to-access manner. Deploying solutions on premise can be complicated and put stress on budgets and infrastructure space as the process would...
05 December 2018 /security /regulation Information Security
Ketharaman Swaminathan Founder and CEO at GTM360 Marketing Solutions
On the tenth anniversary of the bankruptcy of Lehman Brothers, the media is full of articles questioning why nobody went to jail for the Great Financial Crisis that followed. Take, for instance, A crisis nobody went to jail for. According to most of these articles, the GFC happened beause of greed, laziness, cronyism and cheating by banks. We can ...
04 December 2018 /regulation /wholesale
With the rise of cryptocurrencies and ALT coins, fuelled by the retail madness of Initial Coin Offerings (ICO’s) in late 2016 and all of 2017, we have seen an increase in the number of trading exchanges that have come to fruition. Everything seemed to be fine and the crypto industry was making more millionaires overnight than any other form of in
04 December 2018 /regulation Blockchain Observations
Anne Plested Regulation at ION Markets
Meanwhile in another part of Europe, time is running out for Swiss equivalence. The one year period previously granted in December 2017 is set to expire on 31st December. Switzerland needs equivalent third-country status in order to preserve the status quo and allow EU trading participants bound by MiFID to continue accessing the Swiss market loca...
03 December 2018 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
Despite a one-year delay and other missed deadlines, the order-tracking system known as the Consolidated Audit Trail is back on track as exchanges were due to begin reporting required equities and options data into the CAT on Nov. 15. That message was conveyed by panelists at a recent industry conference. Executives speaking at Tabb Group's FinTech...
03 December 2018 /regulation Capital Markets Technology
Bob Lyddon Consultant at Lyddon Consulting Services
The Bank of England recently issued its Financial Stability Report and Stress Test results - November 2018. In it the Bank warned that 2 “further deterioration in Italy’s financial outlook could result in material spillovers to the euro area and the UK”. In its more detailed comments the Bank noted that Italian Non-performing loans (NPLs) account f...
03 December 2018 /regulation /wholesale SEPA and European Payments
Marc Gratacos Founder and Managing Partner at TradeHeader
The FIX Trading Community’s second annual France Trading Briefing, held in Paris on November 22, picked up the baton and ran with a number of themes already touched on at its September Nordics briefing. Ongoing digestion of MiFID II MiFID II continues to exert a powerful gravitational pull, and the ongoing evolution of the regulation and its impac...
03 December 2018 /regulation MiFID
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