4462 Results from /regulation
Nanda Kumar CEO at SunTec Business Solutions
The United States presidential race is in its home stretch. Trump is confident of victory but his policies for the financial services industry are questionable. In his manifesto he states he wants to rid the US of the Dodd-Frank law, which he feels is impeaching on the amount of capital financial institutions can hold. His opponent, and a former F...
31 October 2016 /regulation /retail
Retired Member
So last year my beloved Audi blew up. Its demise didn’t happen overnight, of course. It was slow, painful and costly with thousands of pounds spent on repairs. Shortly afterwards I went straight to an Audi dealership to upgrade my old model to a Q5, only to be reminded by my wife that we’d already had two Audis, both beset by similar problems. I...
31 October 2016 /regulation
Tejasvi Addagada Enterprise Data Head at Fortune 500 financial service provider
I was just having a casual conversation with one of my friends over the BCBS implementation in his Bank. We were in fact discussing on where Data Governance and Management in the industry is today. What interested me as a part of our conversation is a question “How has a bank to stop itself from failing to meet its BCBS policy timeline”. I can st...
29 October 2016 /regulation
Generally speaking, the buy side has not been as attuned to the 871(m) implications because it may not be directly in the chain of withholding from an operational standpoint. The good news for the buy side is that it can focus most of its efforts on pre-trade screening to determine the types of transactions covered by the scope of these rules. 871...
27 October 2016 /regulation
Nigel Farmer Industry Director, Capital Markets at Software AG
The management, retention and reporting of huge data volumes is so onerous that many financial services firms are missing out on the value of this data; they are awash in a sea of data with nothing to drink. Banks are dealing with ever increasing volumes of data, from trading data to communications and social media, coming from many different sourc...
In my last blog, we explored the 3 core client lifecycle challenges facing wealth managers – regulatory compliance, operational and technological challenges and client experience impacts. Considering these challenges, it’s plain to see that the HNWI client lifecycle management process is crying out to be digitized. But what does digitizing the cl...
26 October 2016 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
Disclosure is the rage in financial markets regulation and the latest set of proposals relate to order handling rules. Regulators are seeking to boost transparency into the order routing practices of broker-dealers and trading venues that reroute their orders in U.S. listed equities across exchanges and other trading venues. As many know, on July 1...
25 October 2016 /regulation
Regtech is being added to the canon of financial technology buzzwords. But what does it offer and how should the industry embrace this concept? This increasingly common term is a subset of the fintech movement to find smarter technology solutions to solving difficult problems or tapping into great opportunities for revenue. Essentially regtech is
A Culture of Compliance…sure we have that. That’s what everyone says. But do you really? It’s not just about talking the talk, but walking the walk too. Maybe you have strong policies and procedures documenting all the necessary parts of your compliance program, but how are those carried out and embodied by your employees and management? Revie...
25 October 2016 /regulation /retail
David Andrzejek VP Vertical Solutions at Datastax
For years, London has been the fintech capital of the world. Is that likely to change now that Britain is gearing up to leave the EU before April 2019? While U.S. regulators have struggled to create a regulatory framework that supports innovation in banking, the U.K. and fellow European Union nations have charged full steam ahead toward open ba
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