4359 Results from /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
With MIFID II’s rules on inducements now a reality, buy-side firms are paying close attention to the costs associated with their front-office trading platforms and analytics. The EU regulation, which took effect on Jan. 3, could draw scrutiny to execution services and tools that are sponsored by brokers, such as order management and execution manag...
15 January 2018 /regulation MiFID
Freddie McMahon Director Strategy and Innovation at DF2020 Ltd
Just as a reminder, Complex Knowledge is any combination of regulatory, statutory, legal, tax, tariff, policy and procedure matter, which is primarily found within documents. USE CASE: HOUSEHOLDER PLANNING PERMISSION (CONTINUED) Creating the Knowledge Map and Chatbot The Knowledge Map is a symbolic algorithm based upon Choices, Pathways and O...
13 January 2018 /ai /regulation Innovation in Financial Services
Retired Member
MiFID II is one of the most far-reaching changes to financial market regulation yet. Investment and wealth management as well as wealth advisory firms are the most impacted segments, especially those who will now have to spend more time familiarising themselves with the new regulation where they have not had to deal with similar requirements with ...
11 January 2018 /regulation
Anyone who has watched the cult TV series Breaking Bad knows that Heisenberg was the clandestine alias adopted by the show's chief protagonist, Walt White. The 'original' Heisenberg was, of course, the brilliant German theoretical physicist who developed his famous Uncertainty Principle. Simply stated it says that one can know either the position ...
10 January 2018 /regulation
Just as a reminder, Complex Knowledge is any combination of regulatory, statutory, legal, tax, tariff, policy and procedure matter, which is primarily found within documents. USE CASE: HOUSEHOLDER PLANNING PERMISSION (continued) Preparing the Complex Knowledge from Monologue to Dialogue In context to the earlier defined scope, the knowledge wa...
05 January 2018 /ai /regulation Finance 2.0
As Storm Eleanor literally howled across the UK last night I woke up wondering if it was some portent to today – Jan 3rd – MiFID II go-live day. But here I am, sat at my desk, and everything seems pretty normal. No one seems to expect huge volumes today though, as traders gently blip the throttles of their new MiFID compliant trading machines. But...
03 January 2018 /regulation
A recent report by the Future of Work Commission, chaired by deputy Labour party leader Tom Watson, made me reflect on how banks in the UK have dealt with the technological revolution of the last few years, and how they might fare in 2018, when the pace of change will undoubtedly quicken. Indeed, a mainstream newspaper covering the report ran th...
03 January 2018 /regulation /retail Financial Risk Management
Just as a reminder, Complex Knowledge is any combination of regulatory, statutory, legal, tax, tariff, policy and procedure matter, which is primarily found within documents. USE CASE: HOUSEHOLDER PLANNING PERMISSION Setting the scene The understandings from this particular use case are universal in terms of Complex Knowledge. The initial sce...
29 December 2017 /ai /regulation Innovation in Financial Services
ESMA recently issued guidance on the treatment of commodity derivatives traded on third-country venues in the context of the MiFID ll position limit regime. Prior to this is was not clear if commodity derivatives traded on a third-country exchange would be considered economically equivalent OTC (“EEOTC”) contracts and would consequently fall unde...
22 December 2017 /regulation
The Opportunity The simplification of Complex Knowledge is a paradigm shift opportunity for chatbots, with the potential to bring benefits to every person and every organisation on the planet. The Definition Complex Knowledge is any combination of regulatory, statutory, legal, tax, tariff, policy and procedure matter, which is primarily found w...
22 December 2017 /ai /regulation Fintech innovation and startups
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