4138 Results from /regulation
Henri Wajsblat Financial Services Expert at Anaplan
Over the last few years, we’ve seen regulatory changes and market volatility impact the business models of financial services firms, particularly private equity funds and investors. For example, private equity funds have had to adjust to new regulatory requirements including the Foreign Account Tax Compliance Act (FATCA), Alternative Investment Fu...
01 September 2017 /regulation Private Equity Investing in Financial Technology
Freddie McMahon Director Strategy and Innovation at DF2020 Ltd
As conversation is a more natural interface than websites, enterprise applications and mobile apps, it is inevitable that dialogue will become the most prominent and effective way of communicating between people and computers. The speed of this transition will undoubtedly be far faster than most people are expecting. Why? Dialogue is via a Convers...
01 September 2017 /ai /regulation Futuristic Banking
Saloni Ramakrishna Author; Senior Director at Oracle
It depends on who is answering that question. Really!! It is a single uniform regulation at the ECB (European Central Bank) level with clearly spelt our coverage. To ECB’s credit they have given comprehensive implementation information through the detailed AnaCredit Reporting manual, part 1, 2 and 3. The information that they expect from all the p...
31 August 2017 /regulation Financial Services Regulation
Retired Member
According to a few reports I read this week we should all be thankful to the European Commission for clearing up the "loophole" that existed in the current Systematic Internaliser regime. Well that's a relief – except for two small points – first they haven't and second they seem to have missed the whole point. A commission official has ...
31 August 2017 /regulation
The regulatory gap in ecommerce payments is a pressing issue. Transaction Launderers are taking full advantage of the gaps in the current regulatory regime to funnel illicit ecommerce transactions into the payments ecosystem. Without proper controls, AML efforts are threatened by the influx of billions of dollars laundered through merchant accoun...
30 August 2017 /payments /regulation
Brie Lam Regulatory Compliance Consulant at Independent
When ESMA announced in late 2016 that the quantitative threshold assessment under the MIFID II Systematic Internaliser (SI) regime would commence from 1st September 2018, rather than 3rd January 2018, many in the dealer community breathed a sigh of relief. This was understandable, as it bought time for those dealers likely to be assessed as SIs, b...
29 August 2017 /regulation MiFID
Howard Berg Senior V President,North and Central Europe, BPS at Gemalto DIS
Mobile devices are the backbone of digital transformation, enabling new innovations such as smart cities and connected cars. But they are also the backbone of disruption in the digital banking world. They can transform a bank from a distant place you go to occasionally, when you need something in particular, to a trusted partner who is always the
25 August 2017 /regulation
One of the challenges for Artificial Intelligence (AI) / Autonomous Solutions (AS) is to mitigate socioeconomic risks and negative impacts. Financial Services have already experienced unintended risks when empowering algorithms to trade without sufficient checks and balances. During the afternoon of May 6, 2010, The Dow Jones Industrial Average ...
25 August 2017 /ai /regulation Futuristic Banking
This is Part 1 of our series of articles in “Digital Client Onboarding for Financial Services: Move Fast, Ask Less”. So, what does User eXperience (UX) have to do with compliance? Well, when we break it down, your new client will more than likely have their first interaction with you while researching your company or the service(s) it provides via...
23 August 2017 /regulation Innovation in Financial Services
Volcker Rule is a federal regulation that restricts banks from making speculative investments with their own customers’ accounts. The rule was proposed by former US Federal Reserve Chairman Paul Volcker as part of section 619 of Dodd-Frank Wall Street Reform and Consumer Protection Act to avoid financial stability similar. The decision for taken t...
22 August 2017 /regulation /inclusion
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