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If I walk into a shop, pick up any item and then walk out again, the chances are that store security will stop me and I'll probably end up in court pretty soon. Likewise if I walked into a bank branch...
In 2015, we have seen increased regulatory scrutiny as supervisory bodies look to reform the banking industry and a new culture of supervision and best practice continues to be set by the Bank of Engl...
Market participants are usually surprised to find that the governance of the ISIN system is not the responsibility of ISO (the International Organization for Standardization). As the Association of N...
Don't drown in the waves of T2S implementation. Surf them in pursuit of lasting competitive advantages, delivered through effective liquidity and collateral management. T2S-related preparation and imp...
By recommending that the European Commission should adopt Technical Standards that mandate the use of only ISINs for MiFIR regulatory reporting, ESMA has in practice reinforced the sole-supplier statu...
The catastrophic global recession of 2008 sent ripples through the banking sector. Many banks struggled to cope with massive losses suffered because of debt they accrued through somewhat risky investm...
Looking ahead to 2016, it’s clear there are going to be new KYC rules drafted or implemented around the world. These new rules will require banks and investment managers to challenge the way they cond...
What happens if an ISIN issuer for a country hasn't issued or doesn't want to issue ISINs for some asset classes or instrument types? What if a country has no official ISIN issuer? That's where &quo...
The second and third principle of RDA (BCBS239) emphasizes on reliable risk data management framework. Data should be complete enough to reflect the enterprise-wide view of risk to all the stakeholder...
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 or...
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 Regis...
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 i...