4139 Results from /regulation
Retired Member
FINTECH, market exchange access, electronic trading, pre-trade risk controls, and compliance especially related to the Futures & Options Markets
12 February 2016 /regulation Capital Markets Technology
The rate of change of business-to-government compliance mandates in Latin America continues compounding, with no less than 10 (ten!) new regulations expected in 2016. Managing these changes can be challenging at all levels of a corporation – from IT integration to new processes and controls in finance and supply chain management to operational del...
11 February 2016 /regulation Electronic invoicing
Innovation, everyone’s favourite buzzword, but how do you actually deliver on this and come up with ideas that will create the best possible products? We all know that every new idea for a product will have to obtain management approval somewhere along the way, so how can you ensure that you receive nods of agreement, rather than the sort of look ...
11 February 2016 /regulation
Nigel Farmer Industry Director, Capital Markets at Software AG
This is the year when capital markets firms will have to get to grips with mountains of data; if they don’t get it under control, they will have one Big Data mess. And Big Data can only grow. Complex sets of data arising from requirements for reporting transactions, communications surveillance, risk management (BCBS239) and swaps data repository re...
[This post begins a series of blogs which will examine in detail the effect of the EU’s new payment service directive (aka PSD2) from both a technical regulatory and business opportunity perspective] Attending recent seminars on PSD2 brought home just how much industry uncertainty still exists around the directive. This is not surprising. For despi...
11 February 2016 /payments /regulation
The European Commission’s long-awaited official proposal for a one year extension to the MiFID II deadline is finally published today. In short, application dates will be pushed back by one year, with the official go-live date now set for Wednesday 3rd January 2018. While the delay comes as a massive relief to many market participants and the regu...
10 February 2016 /regulation
The Foreign Account Tax Compliance Act (FATCA) has created a job title no one wants: the Responsible Officer (RO). Asset managers globally are now required to have an individual personally responsible for their FATCA programme and the RO will be required to make detailed periodic certifications regarding compliance. Given the global scope of the ...
Chief Compliance Officers (CCOs), Chief Risk Officers (CROs), Chief Financial Officers (CFOs) and Chief Data Officers (CDOs) have more in common than they might think: a need for reliable, common data across the enterprise. Tough compliance laws are both a headache and an impetus for change – they’ll ensure that the relationships between these grou...
09 February 2016 /regulation
Despite recently shelving its plans for a thematic review into the relationship between banking culture and market abuse – a decision that surprised many people in the market - the whole area of culture and accepted practices within the banking sector is still a key area of focus and concern for the FCA (Financial Conduct Authority). Its 2015-201...
08 February 2016 /regulation
Is MiFID II really going to force investment firms to pass around huge amounts of personal, identifiable information? Will competitors and counterparties learn way too much about your business? While many of these concerns may be overblown, there are some valid points to consider. The most obvious one relates to transaction reporting under RTS 22,...
05 February 2016 /regulation
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