4456 Results from /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
Many asset managers are wrestling with the decision on whether to keep the order management system (OMS) and execution management system (EMS) as two separate best-of-breed systems, or switch to a single unified platform known as the OEMS. Buy-side firms have been demanding tighter integration between their order management and execution management...
19 December 2017 /regulation Capital Markets Technology
Retired Member
The year 2017 saw unprecedented change in the world of cyber – the number and scale of attacks grew significantly, while in many cases governments, regulators, and financial services firms were perceived to be scrambling to catch up. In 2018, the momentum around cybersecurity will accelerate in a range of ways – below are Cordium’s top five cyber t...
18 December 2017 /regulation
2017 was the year that Transaction Laundering planted itself firmly in the consciousness of the minds of regulators, lawmakers, law enforcement and the general public. We believe that 2018 will be the year that we turn this awareness into action. Here’s why: E-commerce and Mobile Transactions Will Continue to Surge According to emarketer, worldw...
18 December 2017 /payments /regulation
Brian Collings CEO at Torstone Technology Ltd
For those who believe that “go-live” is merely the beginning of the end of the compliance journey, next year will mark yet another milestone for major regulatory implementation. 2018 starts with the long-anticipated go-live of the revised Markets in Financial Instruments Directive (MiFID II) on 3 January, followed four months later on 25 May, by t...
14 December 2017 /regulation Capital Markets Technology
With a new year just around the corner, December is typically a month in which people take the time to reflect and remember upon the year gone by. Dealt its fair share of political and economic twists and turns, it’s not surprising uncertainty has hung over the nation, denting both consumer and business confidence in 2017. In fact, in October the ...
13 December 2017 /regulation /retail Trends in Financial Services
Sayed Ali Sharafudeen Senior Manager, Customer Analytics at Genpact
When the European Union ushers in General Data Protection Regulation (GDPR) on 25 May 2018, it will represent one of the most critical developments and the biggest shake-up in the use and management of customer data over a decade. This has been specifically designed to ‘harmonize’ consumer rights across the continent and will consecrate stringent ...
11 December 2017 /regulation Data Protection Act Issues
Beneficial ownership - the term that can be found on the lips of AML Compliance professionals across the globe at the moment. It isn’t a new concept but between the 4th EU Money Laundering Directive and the US FinCEN CDD Rule it has become the topic du jour. While there is much discussion about the requirements and advice to get programs to addres...
11 December 2017 /regulation Financial Services Regulation
Freddie McMahon Director Strategy and Innovation at DF2020 Ltd
As covered previously, Chatbot Natural Language Processing (NLP) is not underpinned by Artificial Intelligence that is a Singularity, all knowing, god like. Once this is obviously clear then it is important to understand NLP constraints and limitations. The science behind NLP is to take a free-form text or voice utterance, which is a form of B...
08 December 2017 /ai /regulation Innovation in Financial Services
Hopefully for those of us in financial services MiFID II is now pretty much part of the furniture, and whilst it is causing turmoil and deep discomfort, the reality, is that it is here to stay and there is no going back. Ever. The reason I said ‘hopefully’ is that I have heard some horror stories about CEOs of a few buy side firms who are only just...
08 December 2017 /regulation /wholesale MiFID
Yesterday ESMA published the long outstanding reference data for equities and bonds. Captains of the industry might worry little about abbreviations such as LIS, SMS, ADT, AVT or ADNT. But the engineers below deck understand perfectly well that these are the crucial coordinates to keep the ship on course. The reference data allows you to work out ...
07 December 2017 /regulation /wholesale MiFID
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