Systems and controls

Systems and controls

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

On 31 January 2017, ESMA published a consultation paper seeking feedback by the end of Q1 on its draft guidelines regarding the transfer of...
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...

One of the costliest and most troublesome activities that financial institutions face is complying with regulations. With information technology having already revolutionised consumer financial...

On 3 February 2017, President Trump announced in a press briefing that “we expect to be cutting a lot of Dodd-Frank” because “so many...
FCA 4th CP, FCA MiFID II, FCA MiFID Consultation, FCA Tied agents, FCA specialist regimes

On 16 December 2016, the Financial Conduct Authority (FCA) published their fourth and final consultation paper (CP) on implementing MiFID II regulations into domestic...
ISIN, MiFID II ISIN

In our preceding article about ISINs, we explored the pursuit of a universal OTC identifier, and discussed what has occurred in Europe to fix...

With the MiFID II/R implementation deadline less than 420 days away, financial institutions are trying to find the smartest ways to comply with this...

The Federal Reserve Board published a final enhanced supervision rule, known as Regulation YY, on 18 February, 2014.  This regulation implements certain provisions of...

On Wednesday 14 September, the EU Financial Affairs Sub-Committee heard evidence from Mr. Simon Gleeson, Partner at Clifford Chance, and Mr. Peter Snowdon, Partner...

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