4139 Results from /regulation
Neil Crammond risk education & real time market abuse at DIVENTO FINANCIALS
PARIS EURONEXT & VIRTU FINANCIAL FINED $5 MILLION EACH ! Finally after countless complaints over numerous years a regulator ha finally punished an exchange for failing to provide fair and orderly markets . However the best punishment would of been to suspend both of them ! It now appears that exchanges have given certain members privileg...
09 December 2015 /regulation
Retired Member
Who can issue ISINs? You might think that any stock or derivatives or commodities exchange can issue ISINs for the instruments traded on their platforms - but they can't. ISO has nominated one Registration Authority to be responsible for maintaining the basic details of all ISINs issued globally: the Association of National Numbering Agency (ANN...
The cost of compliance continues to be one of the hot issues in financial services. Year on year spend seems to increase but the question still remains – are the investments delivering a return and improving compliance? The short answer, not yet. The reason? Firms have had to implement many of their regulatory and compliance solutions tactically ...
08 December 2015 /regulation
Recent figures from the Bank of England seem to indicate that we are heading for a fresh household debt crisis in the UK. People are borrowing at the fastest rate in almost a decade as confidence in the economic recovery grows. Consumer credit rose by £1.2 billion between September and October, putting the annual growth rate at 8.2%. The situation...
08 December 2015 /regulation /inclusion
Interesting piece in the Financial Times recently on the issue of alternative groups like P2P lenders, insurers and asset groups seizing business from lenders by offering cheap and convenient finance. Although they only account for two per cent of market share in the UK at the moment, that figure is rapidly growing. Of course, with the lending res...
As new know your customer (KYC) rules are being implemented by countries around the world, banks and investment management companies are beginning to realize the scale of the challenge around managing their KYC data is about to become substantial. New best practice is “dynamic” KYC – knowing where a particular client stands against increasing regu...
07 December 2015 /regulation /inclusion
Ben O'Brien Managing Director at Jaywing
Although the latest stress testing results revealed there has been significant improvement in stress testing processes since last year, the results also identified considerable variation across banks. During the 2015 stress test, the Bank of England (BoE) undertook a review of banks’ stress testing model frameworks – having found that they were wea...
07 December 2015 /regulation /retail
It’s surprising how many people think that ISINs (International Securities Identification Numbers) are free. In practice, very little around ISO standards is free, other than the time and effort that volunteers around the world give in helping to develop ISO standards. Even a copy of the specification of the ISIN standard has to be bought, and y...
06 December 2015 /regulation
Following on from my post last week about the need for a ‘regulatory compliance framework’, I will now examine the importance of taking a more holistic view of this challenge. We are now in a much better position to bring intelligent design and technology to bear in solving this problem and it’s vital that we should. However, the basic building bl...
04 December 2015 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
Buy side traders debating the pros and cons of the U.S. equity market structure recently gave high marks to the computerized stock trading landscape, though it didn’t take long for concerns to surface. At a Baruch College Financial Markets Conference on November 11, four heads of buy side institutional trading desks acknowledged that the market str...
03 December 2015 /regulation
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