Not long now - in less than 6 months’ time - both MiFID II and PRIIPs will become effective across EU Member States. ESMA recently...

16 May 2017 signalled the end of the European Commission’s public consultation period on the operations of the European Supervisory Authorities.  The purpose of...

Before the climb, you must have a vision of what success will feel like.  You may not know the precise route, but a general...

The financial services industry is nearing a regulatory crisis point; detailed rules are being written in huge volumes, by regulatory bodies struggling to keep...

As we’ve covered frequently on this site, incumbents are spending billions complying with the thousands of new, granular obligations demanded by FS regulators. So why,...

On 28 February 2017, I was pleased to chair our second RegTech Capital Markets Conference in London.  As many have been asking how it...
conduct risk, regtech and conduct, regtech conference

Improving the culture and codes of conduct within financial services firms has been a longstanding issue of contention since the financial crisis.  Combatting negative...

On 17 January, ESMA published advice received from the Securities and Markets Stakeholder Group (SMSG) in relation to the consultation on MiFID II product...

Never mind a busy December, all in all, it was a busy year for financial regulation as shown in one of our previous articles,...
mifir data reporting, mifir, mifid LEI

Just before the Christmas break, as part of its quick-fire release of numerous important updates, ESMA published a new Questions and Answers document that...