On 5 August 2016, the Securities and Exchange Board of India (SEBI) released a discussion paper on the ‘Strengthening of the Regulatory framework for...

By January 2018, European legislation will have significantly changed the financial services sector. The sheer volume of transactions, products and firms affected by new...

We were pleased to speak at the Asset Control User Conference on Tuesday about the challenges of using RegTech in the context of comprehensive...

On 24 March, as part of the UK’s effort to set rules to transpose the Markets in Financial Instruments Directive (MiFID II), the Prudential...

In our two previous articles, we mentioned that, despite the technology existing to enable ‘good regulatory practice’, the market has failed to overcome the...

An EY report released this week in conjunction with the UK Treasury, declared the UK to be the highest ranking FinTech sector in the...
Automated trading, CFTC regulation AT, AT persons

On 24 November 2015, the US Commodity Futures Trading Commission (CFTC) unanimously approved a notice of proposed rulemaking addressing several issues related to automated...

By Sam Tyfield and JWG. Following on from our previous article, the devil is in the definitions, where we unravelled the definitions for High Frequency...

JWG analysis. At the 8th Customer Data Management Group (CDMG) meeting of 2015, on 18 August, over 20 members from 10 firms came together to...

JWG analysis. Since the financial crisis, there has been an increased focus on tackling market abuse.  As of March this year, the FCA had 49...