4467 Results from /regulation
Barley Laing UK Managing Director at Melissa
The financial services industry is in unchartered territory as it attempts to plot a path through the current pandemic. Financial institutions are having to make big decisions at speed about how they operate and service customers during this challenging time, along with how they plan for a post COVID-19 world. At least with most decision makers wor...
21 May 2020 /regulation /covid-19 Data Management and Governance
Retired Member
The financial services industry has been ruled by traditional banks for decades, but with the financial crash in 2008, regulation and microinspection paved the way for younger and more innovative competitors, leading to a new era of challenger banks. Driven by digital processes and new technology, and fuelled by the introduction of PSD2 regulation...
19 May 2020 /regulation
Adam Holden Chief Executive Officer at NorthRow
Businesses continue to face multiple challenges in achieving compliance with the requirements of the FCA and the 5th Money Laundering Directive (5th MLD), whilst running a tight and effective business. In all cases the aim is the same: to prevent crime whilst enabling genuine business, but the approach can seem rather different. In this article I ...
Claus Christensen CEO at Know Your Customer
The Digital Finance Outreach 2020 is an initiative launched by the European Union to better understand, foster and stimulate the FinTech ecosystem across the bloc. An essential part of the programme is a series of events – organised in collaboration with all Member States – aimed at engaging the community and preparing the new EU Digital Finance S...
14 May 2020 /regulation /startups Fintech
Ivy Schmerken Editorial Director at FlexTrade Systems
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...
14 May 2020 /regulation /markets Hedge Fund Technology
Alessio Balduini CEO and Founder at Credit Data Research
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...
07 May 2020 /regulation /covid-19 Digital Banking Trends
Brittany Garland Executive Director at IHS Markit
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...
05 May 2020 /regulation Operational Risk Management
Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com
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...
04 May 2020 /regulation /markets Financial Services Regulation
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...
30 April 2020 /regulation Financial Risk Management
Carlo R.W. De Meijer The Meyer Financial Services Advisory (MIFS) at MIFSA
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...
30 April 2020 /regulation /crypto Blockchain Observations
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