4139 Results from /regulation
Retired Member
It would be understandable if many firms decided to crack open the champagne in celebration of the decision to delay the implementation date of MiFID II by 12 months. MiFID II is an enormous regulation and one of the biggest and most wide-ranging regulatory changes to have taken place in recent years. The delay is welcome, but it would be a serious...
02 March 2016 /regulation
Ketharaman Swaminathan Founder and CEO at GTM360 Marketing Solutions
I drafted this blog post four years ago after reading this article in Economic Times. Not wanting to sound alarmist, I decided to can it. I revisited the post many times since then and I stuck to my decision each time. Until I read this question on Quora a couple of days ago: Is there a situation in India like The Big Short movie as there are bi...
29 February 2016 /regulation /wholesale
Yes, Smart contracts and blockchains can change the world of digital assets, their exchange, and automated administration of contracts. Much is being talked about this promise. Also people point to data transparency, irreversibility of records and irrepudiability of transactions in a blockchain offering superior trust, integrity and security. But ...
27 February 2016 /regulation
Lu Zurawski founder, iKnowMe at Lu Zurawski
I competed last week in a ‘Family Lip Synch Battle’, in a chalet on the Swiss-French border with a rendition of the Hokey Cokey, mimed in German. I now feel curiously qualified to comment on the UK’s position on the European Union. The existential conundrum posed by das Hokey Kokey (“…in?, aus?, man schwenkes alles rum?”...) helped me analyse the...
26 February 2016 /regulation
Nigel Farmer Industry Director, Capital Markets at Software AG
It seems there is no end to new cases of market manipulation, as the latest scandal involving banks possibly rigging the $1.5 trillion government-sponsored bond market breaks in Europe. Regulators have been relentless in cracking down on financial services firms involved in insider trading and market manipulation, and financial services firms are g...
There is the widespread assumption that MiFID II/R will lead to increased levels of pre-trade transparency and significantly reduce OTC trading, restricting it to the less liquid and more bespoke products. This assumption is driven in large part by the joint introduction of obligatory Market Making agreements, a stricter interpretation of Systemati...
24 February 2016 /regulation
The pixels were barely dry on my last blog post on the regulatory impact of a potential Brexit on the City of London, when news broke that LSE Group was in talks with Deutsche Börse over a "merger of equals". The LSE has done a great job under Xavier's stewardship of positioning itself for the practical realities of the industry today, w...
In looking at compliance officers (from the buy side, sell side, exchanges, and regulators) I saw only one person with a background in data science, machine learning, decision science, statistics or other data analysis discipline. Granted, my search was wholly unscientific. My college professors in Decision Science at Indiana University wou
22 February 2016 /regulation Financial Services Regulation
Interesting to read over the weekend that London's mayor Boris Johnson has decided to throw his charismatic and not inconsiderable weight behind the "NO" campaign. Most agree that this shifts the possibility of a Brexit from remote to now distinctly possible. I wonder, therefore, what this means for all the rules we are in the midst of i...
22 February 2016 /regulation
The deadline for MiFID II might be delayed, but financial organisations should be wary of putting off their plans to reinforce archiving of client communications. With every piece of litigation, the pressure on the preservation of communications data grows, but by tackling the issue and addressing some of the key areas now, firms will be in a bett...
22 February 2016 /regulation MiFID
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