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4231 Results from /regulation

Nickii Mallia

Nickii Mallia Business Development Manager at Aqubix Ltd - KYC Portal

The most reliable asset in the compliance team is not who (or what) you think!

“I am confident and incredibly focused on my work. I can guarantee that I will never miss any kind of anomaly or issue within the compliance processes of your company. I will work tirelessly 24 by 7 and no matter how many new subjects you plan on on-boarding in the future, I can take it. I can assure you that I will identify expired documents way ...

/regulation /crime Operational Risk Management

Retired Member

Retired Member 

New Oil, Familiar Challenges — Answering GDPR Requests for Data

Data is the new oil, and that means that it requires supporting infrastructure for safe handling. In the same way that oil and gas facilities are subject to inspections to verify whether their equipment is fit for purpose, companies can receive requests — under the EU’s General Data Protection Regulation (GDPR), the California Consumer Privacy Act ...

/regulation /retail

Retired Member

Retired Member 

The FCA proposes a New Consumer Duty

Estimated reading time: 4 minutes In May 2021, the FCA published a consultation paper (CP21/13) on a “New Consumer Duty” in an attempt to stop consumers from being provided with misleading information, being provided with unsatisfactory support or buying products that are inappropriate or harmful. In its initial consultation, the FCA highlighted: ...

/regulation /retail Banking Regulations

Vaibhav Grover

Vaibhav Grover Senior Director at Sutherland

Is your transformation risk-proof?

This article is co-authored by Vaibhav Dubey, Priyanka Mishra, Suresh Thevar & Vaibhav Grover Banking continues to be in the forefront of driving digital and process transformation. Many banks are on a transformation journey when it comes to core banking or back-office operations. These journeys are initially focused on cost reduction, making e...

/regulation /retail Financial Risk Management

Carolyn Kostelny

Carolyn Kostelny Managing Partner and Chief of Staff at Quorsus

2022: A year of regulatory developments, possible deviations, and certain delays

While 2021 wasn’t the busiest of years in terms of regulatory reporting go-live implementation, important developments did take shape. Among the more important of these developments was the publication of a series of consultation papers and updates to regulatory and/or industry technical specifications, including ESMA’s draft guidelines for report...

/regulation /predictions Banking Regulations

Nick Green

Nick Green Director at Purple Patch Broking Ltd

BNPL data in 2022: What’s next for risk models and scores

With the number of online purchases using BNPL services growing at a rate of 39% per year, more and more lenders are starting to become concerned with high BNPL usage, and how that data will be included within risk models and scores. Against this backdrop, and with The Treasury set to close its consultation on the FCA’s regulation of the buy now pa...

/regulation /retail BNPL

Ankur Rawat

Ankur Rawat Director – Banking Products and Solutions at Newgen Software

Building Digital Trust for Customer Longevity: What’s the Secret Sauce?

by Ankur Rawat, Director of Banking Products and Solutions at Newgen It is no secret that trust is one of the pillars of customer relationships for organizations. But, how critical is it? According to a recent Deloitte Digital survey[1], while rational factors play a key role at the beginning and end of relationships, it is the emotional factors t...

/regulation /devops Banking Architecture

Will Marwick

Will Marwick CEO at IFX Payments

LOOKING AHEAD: 2022 Fintech Predictions and Reflections

2021 was the year of recovery and opportunity for many, following months of disruption caused by the pandemic. But whilst many industries have struggled to bounce back from the disruption, many Fintechs have managed to thrive in a somewhat hostile economic climate as a result of innovation, digital disruption, lucrative funding and a vision for ho...

/payments /regulation

Nickii Mallia

Nickii Mallia Business Development Manager at Aqubix Ltd - KYC Portal

The importance of meeting Regulatory Reporting Obligations

Any compliance officer will tell you that financial safety is the first benefit associated with regulatory compliance. Compliance officers are requested to issue reports to ensure they’re complying with the industry standards, laws, rules, and regulations set by government agencies and regulatory bodies, no matter the industry or company size. It ...

/regulation /crime Operational Risk Management

Harriet Christie

Harriet Christie Chief Operating Officer at Mirrorweb

FINRA Reviews Rules Around Social Media Influencers - We Can’t Say They Didn't Warn Us

On July 22nd, FINRA CEO Robert Cook revealed that a sweep related to financial services influencers ‘is coming’. It eventually arrived in September, hot on the heels of the SEC requesting comment on the ‘digital engagement practices’ used by investment advisers and broker-dealers. The SEC was most interested in how tools are used that appeal to in...

/regulation /people Trends in Financial Services

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