4170 Results from /regulation
Retired Member
As we edge ever-closer to MiFID II implementation, the position limits debate is once again underway in Europe. Under the new rules the UK regulator is required to impose position limits on all commodity derivatives listed on UK trading venues. In its Consultation Paper the FCA states: “The aim of the new regime governing commodity derivatives trad...
28 November 2016 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
With stricter regulations, capital constraints and technology costs impacting the sell side, large brokers are rationing their services and this trend is being felt on equity trading desks. Brokers are catering to the biggest institutions, while medium and small asset managers feel neglected, according to a recent TabbFORUM webinar based on the f
21 November 2016 /regulation
Where a data gap exists, social media and other alternative data sources can open the door to previously excluded potential customers. How realistic is it to close the door on its use? Earlier this month, Facebook blocked Admiral car insurance’s plans to use young drivers’ posts and ‘likes’ to influence their insurance quotes. The Facebook user wo...
At the forefront of Regulation AT has been a discussion on CFTC access to source code. That issue has been fought with strong opinions on both side of the argument. Regardless of any regulations, what are the ethical constraints that we in the electronic trading community should hold ourselves to? What rules should we apply to our activities even ...
21 November 2016 /regulation MiFID
Charmaine Oak Co-Founder/Director at Shift Thought Ltd
Both openness and certainty are important to establishing what is termed as an “enabling” financial services(FS) regulatory environment. Firstly, what is an enabling regulatory environment? Just as plants would struggle to grow and survive without the right soil, climate and care, businesses too require the right mix to grow and thrive. For familie...
It’s always cool when two different things come together to make you think. That’s exactly what happened on my commute this morning as I listened to David Bowie’s much-underrated album, Earthling. Just as I read another piece about the US election, my ears were treated to the classic track "I’m afraid of Americans". I will leave you to l...
16 November 2016 /regulation
President-elect Trump’s victory has been called everything from black-swan to white-lash. He is a question mark, especially with regard to financial institutions (FI) policies. Trump’s advisors are a blend of conservatives and populists. He may roll back banking regulation, as he promised to do with Dodd-Frank because it created unjust burdens o...
14 November 2016 /regulation
Anthony Walton CEO at Iliad Solutions
We were talking in the office recently about the pressure CEOs face when things go wrong. If a payment system falls over, and it hits the headlines, it can have a devastating impact on the business. As a results, we thought it would be useful to list the top ten things that CEOs need to know about payment testing – and here they are: Software tes...
14 November 2016 /payments /regulation
Gerard Hergenroeder Retired IBMer and Banking Executive at Payments Shark
Dodd-Frank legislation created a heavy compliance burden for financial insititutions. Hundreds of billions of dollars have been spent on compliance and fines. Most banks' IT budgets today have a ton of compliance projects. Some banks are spending 35% to 50% of their IT budget on compliance alone. Aside from the IT spend for compliance the number o...
11 November 2016 /regulation
Financial institutions continue to grapple with the ever increasing complexities of cyber security. As online services across all channels grow, so does the security risk. The underlying questions are - how do organisations modernise the legacy platforms that were not designed for the open, connected world of today’s demanding consumer base, and p...
11 November 2016 /security /regulation
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