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4366 Results from /regulation

Shirish Netke

Shirish Netke President at Amberoon

The Red Pill Realities of Anti Money Laundering

Money laundered through the banking system is estimated to be over 2 trillion dollars a year. A recent study by BAFT (Bankers Association of Finance and Trade) estimates that 1% of the proceeds from financial crimes are intercepted. Meanwhile, nine out of ten suspicious activities flagged by AML software in banks are false alarms. Let’s put these ...

/ai /regulation Banking Regulations

Retired Member

Retired Member 

Faster On, Cleaner Off: Toward Enterprise Third-Party Risk Management

Today’s global banks and asset managers seek out technology rationalization and cost reduction wherever possible, and increasingly, this includes farming out back-office processes to external providers, which should lead to a slimmer and more manageable stack, with more internal attention paid to value-added activities, better data management, and...

/regulation

Retired Member

Retired Member 

The CDO: the unsung champion of GDPR

The first service of an GDPR notice – to analytics firm AggregateIQ for its controversial use of voter data – reinforced the severity and significance of GDPR for organisations worldwide. Though the May 25, 2018 deadline for compliance may initially have been treated as a one-off, box-ticking exercise, the reality is that GDPR brings heightened, l...

/regulation

Monica Hovsepian

Monica Hovsepian Global Industry Strategist, Financial Services at Opentext

A time of reflection: Five tips for Financial Services in 2019

The New Year is upon us, and with it come new challenges and opportunities for the Financial Services industry. The industry is currently experiencing unprecedented disruption from factors like new market entrants (FinTechs, InsurTechs), evolving regulatory changes, increasing incidents of cyber-crime, mandates to reduce costs and deliver efficien...

/ai /regulation

Retired Member

Retired Member 

Cybercurrencies and the need for regulation

Anyone with a pulse and the money to cover legal fees can issue a cybercurrency. Once the cybercurrency is created, however, brokers are needed to sell and make a market for it. Given cybercurrencies are an unregulated market, then there are few concerns over how much commission is paid to the broker. The bigger the commission, the greater incenti...

/regulation Financial Services Regulation

Retired Member

Retired Member 

Building An Agile Risk Management Function- Chief Risk Officer Soubhagya Parija and Breana Patel

At Bonova Advisory we interview Industry Thought Leaders, C-suite from large firms and Influencers on a variety of topics pertaining to Risk, Regulation, Corporate Governance and Digital Innovations. Last week, I had the pleasure of interviewing Soubhagya Parija Chief Risk Officer of nation’s largest public power authority New York Power Authority ...

/regulation Business Knowledge for IT

Richard Miller

Richard Miller Product Owner at RegDefy (MV37)

KYC, GDPR and DLT pt1: A Rocky Road?

Several years ago Blockchain and Distributed Ledger Technology (DLT) were going to solve all problems: from streamlining payments, to world peace! Since then, most have fallen away as not having the business case to support them, but a few use cases have stood the test of time. Know Your Customer (KYC) is one of these. There are many DLT based KYC...

/regulation Blockchain Observations

Martin Kisby

Martin Kisby Head of Compliance at Equiniti Credit Services

From Profit Police to Strategic Imperative: the Changing Face of Credit Compliance

For any FCA regulated firm, the risk and compliance function is an essential and integral part of the business – but it wasn’t always that way. Martin Kisby, Head of Compliance at Equiniti Credit Services, explores the motivations behind the evolution of compliance functions in consumer credit firms. Risk and compliance departments, once held ...

/regulation /retail Financial Risk Management

Retired Member

Retired Member 

One year on and none the wiser

MiFID has achieved the rare feat of becoming a genericized trademark. In the same way that Xerox stands for copy machines in general, MiFID has turned into a synonym for all financial markets’ regulation. Thinking about its scorecard on its first birthday, whether MiFID II really is ground-breaking, or deserving remains debatable. However, there i...

/regulation /wholesale

Matt Smith

Matt Smith CEO at SteelEye

MiFID II - One Year On

We are close approaching the 1st anniversary of the most anticipated regulatory change in recent years – MiFID II. Sweeping into force on January 3, 2018 MiFID II brought with it a huge overhaul of the financial services industry that aimed to increase transparency, reduce costs for investors and clampdown on market misconduct in the financial ind...

/regulation Banking Regulations

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