4227 Results from /regulation
Steve Wilcockson Product Marketing at Quantexa
I was at an “all things data and analytics benchmarking” event last week. It was fabulous, most major banks were represented, also the hottest of hot hedge funds, a chunk of exchanges, and some of not-the-usual vendors. I found it refreshing, like most events where tangible analytics gets discussed. My early career was quant /data science/analytics...
15 November 2023 /regulation /cloud Big Data
Harriet Christie Chief Operating Officer at Mirrorweb
When JP Morgan Chase was fined $200 million for recordkeeping failures in 2021, it felt monumental. While ‘ephemeral messaging’ penalties were admittedly a new proposition, the size of the levy should have drawn a line in the sand and led to a tectonic shift in compliance procedures for financial services organizations. What has unfolded since has...
08 November 2023 /regulation /wealth Regulatory Reporting
Eliot Hodges CEO at Anduin
There's been a lot of chatter over the democratization of the global alternatives markets, and investors of all types are seeking out the private markets. Still, very few people have spoken about the lack of infrastructure standing in the way of a brighter future for all. Bain & Company have issued a piece that sheds light on this critical con...
06 November 2023 /regulation /markets Private Equity Investing in Financial Technology
Sadi Bezit Head of Business Development Europe at Sadi BEZIT
Back in March, the European Parliament took a significant step towards strengthening anti-money laundering (AML) and countering the financing of terrorism (CFT) efforts. It voted in favour of creating a specialized entity with competence in AML – provisionally named the Anti-Money Laundering Authority (AMLA). Consequently, the AML competences curr...
06 November 2023 /regulation /crime
Joris Lochy Product Manager at Intix | Co-founder at Capilever
When discussing the dynamic world of Fintech, particularly in the context of neo-banks and payment Fintechs, licenses play a crucial role. This regulatory aspect, while less glamorous than cutting-edge user experiences, is a fundamental component of the Fintech ecosystem. Unfortunately, it often does not receive the attention it deserves in Fintec...
02 November 2023 /regulation /retail Banking Regulations
Clare Rowley Head of Business Operations at Global Legal Entity Identifier Foundation (GLEIF)
Efficiently accessing the data they need is a core challenge for organizations conducting due diligence and ongoing risk monitoring for corporate customers and suppliers. The information needed often comes from varying and disparate sources. KYC processes lack standardization due to the fragmented nature of national AML/CFT requirements. This prev...
01 November 2023 /regulation /identity RegTech
Kieran Holland Head of Technical Solutions at FinScan
Corporate AML compliance objectives are a balancing act of effective risk management, revenue goals, and cost savings, but the reality is that many organizations struggle to achieve this balance with their AML programs. Instead, they are hamstrung by disjointed processes that fail to use or share all the data or resources across the organization. ...
31 October 2023 /regulation /crime
Nikolay Denisenko Co-Founder & CTO at Brighty App
As the Securities and Exchange Commission (SEC) scrutinizes centralized exchanges (CEXs) and Web3-connected banks, the regulatory landscape in the U.S. is murkier than ever. Even given the Grayscale and Ripple’s recent wins over the SEC, the regulators’ stance on crypto-related products and services remains unclear. In contrast, Europe is pushing ...
30 October 2023 /regulation /crypto Cryptocurrency Insights
Jose Pierre CEO at Marketware International, Inc.
In the ever-evolving realm of financial trading, the symbiotic relationship between Order Management Systems (OMS) and Execution Management Systems (EMS) has served as a cornerstone of operational efficiency and strategic decision-making. As the landscape of trading continues to undergo transformative shifts, the role of OMS and EMS has transcende...
30 October 2023 /regulation /markets Artificial Intelligence and Financial Services
Penny Townsend Co-Founder & CPO at Qualpay
When it comes to designing your website, it's crucial that you make your checkout page as convenient, simple, and seamless to navigate as possible for your customers. After all, the checkout page is where the rubber meets the road, you might say. That is, it's where customers ultimately decide to buy what you are selling. There are two types of ch...
26 October 2023 /payments /regulation The Payments Business
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