4451 Results from /regulation
Retired Member
Equilibrium of front office efficiency and control is important to avoid risks and losses. But the raison d’être of portfolio managers and traders alike is ultimately to grow assets and make money for the firm. How can front-office staff be effectively supported in this quest while keeping regulators satisfied and being compliant? The truth is tha...
07 June 2013 /regulation
Data security is something most of us would prefer to leave to the experts. All we want to know is that our compliance boxes are ticked and no nasty surprises are waiting for us. So, what is your mental image of data? A large Excel spreadsheet; lots of ones and zeros like in the movie 'The Matrix'; or how about a large cork notice board with lists ...
06 June 2013 /security /regulation
With the announcment on May 31, 2013 of the updates to einvoicing in Mexico, there is a huge amount of interest - yet one potential failing of many companies. CFD is sunset, there are no "grandfather" clauses in the updates. Many organizations have been lulled into a peaceful sleep with the older knowledge that the government would still ...
04 June 2013 /regulation Electronic invoicing
Renewed growth in the asset management industry has led to the discovery of a latent problem. Rising volumes, operational complexity and demanding regulatory compliance requirements can expose weaknesses in key processes and controls when it comes to the handling of client monies, valuation of client assets and the management of liquidity. This is...
04 June 2013 /regulation
Anne Plested Regulation at ION Markets
The latest published version of MiFIR is narrowing waivers, while widening its impact. Specifically, it has added a double cap limit to the pre-trade transparency reference price waiver. Limitations that may apply to the 4 existing waivers continue to evolve even as the Irish presidency of the Council of the European Union enters its final month b...
03 June 2013 /regulation
Today, May 31, 2013, the Mexico SAT, their governmental tax agency, announced the mandatory transition of all invoices, for companies generating more than 250,000 pesos in revenue annually, to an electronic process known as CFDI. With nearly 500,000 organizations potentially having to switch by the end of 2013, there will be a mad rush to identify...
31 May 2013 /regulation Electronic invoicing
The dramatic closure of Liberty Reserve digital money service by US authorities on the grounds that it is “the financial hub of the cyber crime world” is going to drive increased regulatory interest in digital currencies and alternative payment networks. According to papers from the US Department of Justice, Liberty Reserve had around a million cus...
29 May 2013 /payments /regulation Innovation in Financial Services
It seems like speech analytics has been around forever. Yet mainstream enterprise adoption has remained elusive. This is not for lack of desire. In a survey carried out by Forrester in 2011, the two top challenges to improving customer service were creation of customer insight and having a single view of customer information and data. No doubt this...
28 May 2013 /regulation /retail
Marc Murphy CEO at Fenergo
Beneficial ownership is gaining significant exposure at the moment, with the UK intending to use its presidency of the G8 Leaders’ Summit next month to promote the improvement of international co-operation on tax evasion and push for greater transparency and accountability. As David Cameron, Prime Minister of Britain, states, “… dealing with tax e...
28 May 2013 /regulation /wholesale Financial Services Regulation
According to The Economist algorithmic trading and high-frequency trading (HFT), virtually unknown until about six years ago, now account for almost 70% of the flow of orders on the main exchanges. Since the introduction of electronic trading there has always been more advanced solutions breaking through to help traders gain a competitive advanta...
28 May 2013 /regulation
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