4138 Results from /regulation
Retired Member
Supply chain failures compromise the ability of an organisation to operate effectively and in extreme circumstances even to survive. Yet many businesses struggle to mitigate the risk of such failures due to poor vendor risk management: research from CIPS suggests fewer than half of procurement professionals consistently put strategies in place to ...
30 May 2017 /regulation Financial Risk Management
Japan’s FSA (Financial Services Agency) is looking to implement tighter regulations on High Frequency Trading (HFT) as soon as 2018. Reuters states that “The growing presence of HFT on the Tokyo Stock Exchange (TSE) has raised concerns high-speed trading could destabilise markets and leave retail investors at a disadvantage.“* This is an interesti...
22 May 2017 /regulation Fintech
Stacey Small Business Development at The Glue
The PSD2 deadline is just seven months away, and we all know just how quickly time flies. Market feedback suggests that many financial institutions are still in the ‘reflection’ phase. So far, this year we have seen the EBA (European Banking Authority) publish the Regulatory Technical Standards (RTS) on Strong Customer Authentication (SCA) and com...
19 May 2017 /regulation EBAday
For MiFID II to work, the industry must have a clear understanding of what constitutes a single instrument. For cash products such as equity or debt this is straightforward, but in derivatives the concept of a single instrument isn’t really appropriate and things quickly get complicated. Looking ahead, it’s feasible that an OTF or SI offers tradin...
18 May 2017 /regulation
Major changes have occurred within the asset management industry since 2008. Regulatory change and lower profits have forced asset managers to take a closer look at their operational efficiency. However, they have also resulted in asset managers leveraging a wider range of products in search of alpha. Trying to grow client and product base, while ...
17 May 2017 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
Some experts are debating whether the complexity of the listed U.S. options market structure is hurting liquidity providers and driving some market makers out of the business. Options market makers are navigating a fragmented liquidity landscape, rising technology costs, and an arms race around high speed trading. Some electronic market makers, lik...
16 May 2017 /regulation
The robots are coming, the robots are coming! Everywhere you look, you see whitepapers and discussions about robotics and its use in AML and compliance generally. And rightfully so, this is definitely going to be a boon to the industry in allowing for more efficiency, consistency, and effectiveness. The problem with all the content and hype is tha...
16 May 2017 /regulation Financial Services Regulation
More and more bankers are suffering sleepless nights over spiralling, often out of control, costs and declining, or even disappearing, margins... And if they aren't, they should be. If they don't do something about it soon, they are going to go out of business. It is now widely accepted that banks' post-trade operations are clumsy, incoherent, over...
15 May 2017 /regulation Post-Trade Forum
Trade and transaction reporting rules under MiFID and EMIR can easily be confused, even though they have different requirements, different formats and, most importantly, different scopes. To recap, MiFID trade reporting is a short message to the public, intraday, for the purpose of price discovery; transaction reporting is a long message to the reg...
12 May 2017 /regulation
RegTech & KYC: Over-selling, under-delivering…Is this creating more risk in the market? In recent years, the banking industry has been inundated with regulation. From AML, to EMIR, Dodd-Frank, MiFID II, to FATCA & CRS and enforcement, the volume of new regulation has been unprecedented. One of the most significant side-effects of this is th...
11 May 2017 /regulation Financial Risk Management
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