4171 Results from /regulation
Nigel Farmer Industry Director, Capital Markets at Software AG
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
Retired Member
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
Regulation, regulation, regulation. In the property market there is a saying: “location is everything.” In capital markets in 2016 the saying will be: “regulation is everything.” The backlash from risky derivatives, the credit crisis, crooked high frequency trading (HFT), murky dark pools, insider trading and money laundering over the past few yea...
2016 was meant to be a key year from a regulatory compliance standpoint. This perception was mostly driven by the timeline of MiFID II / MiFIR, the giant that dwarfs its predecessor in complexity and scope; the monster piece of regulation with tentacles reaching out to virtually every other major directive or regulation: The Market Abuse Directive...
Capital markets are in a state of flux thanks to new regulations and disruptive competition from fintech, so 2016 will be the year that defines the way financial services companies can move forward. The new landscape means they have to get creative to address new competition while still remaining in compliance. Here are our predictions for 2016: ...
04 February 2016 /regulation
Neil Crammond risk education & real time market abuse at DIVENTO FINANCIALS
Navindar Sarao returns to court on thursday 4th February accused of triggering the May 6th 2010 flash crash . www.youtube.com/watch?v=H2flY-fTwfQ if you have time to look at above and perhaps you will realize that it was impossible for him to be guilty during this event . There were hardly any orders on the way down in the s&p's or later on t...
Ever since the FCA announced Project Innovate, I've been looking forward to seeing the opportunities that this would open up for financial services. For those of you who don’t know what this initiative is, here's a quick summary. Project Innovate was developed by the FCA to foster competition and growth in financial services. Its role is to by supp...
03 February 2016 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
As European regulators eye the foreign exchange market, the onus is falling on buy- side firms to develop best execution standards and take more control over their trades, according to a recent industry conference In light of recent scandals involving currency-rate rigging, and the controversy over ‘last look’, where banks have the right to reject ...
02 February 2016 /regulation
Said Tabet Senior Technology Strategist, CTO Office at Dell EMC
The majority of financial sector organisations have started to recognise the need to implement new technologies. In recent months big retail banks around the globe have publically adopted the next big innovation, Apple Pay; while a new generation of FS Tech start-ups are surging forwards to either make banks more robust and efficient, or put the i...
01 February 2016 /regulation
Trading exchanges by charging for data feeds have suddenly perched themselves above the radar and now serious questions need answering and perhaps addressing ? Recent years have questioned whether they have offered / given beneficial trading rights to certain members! Finally the gloves are coming off as their answers or lack of them are now be...
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