Systems and controls

Systems and controls

Fresh off the press from the FCA is a call for input on “Supporting the development and adoption of RegTech”. We would be inclined...

JWG analysis. In our last article on this topic, we spelt out our views on regulatory implementation standards.  And the first standard that needs to be defined...

JWG analysis. One of the key themes of MiFID II  has been to enhance regulation in order to better protect investors within the financial services...

JWG analysis. Earlier this month, New York Attorney General (NYAG), Eric Schneiderman, set out his stall with a scathing attack on high frequency trading firms...

Today, ESMA has published the long-awaited MiFID II Technical Standards, leaving implementation teams across the industry with hundreds of pages to get to grips...

The Regulatory Oversight Committee (ROC) for the Legal Entity Identifier (LEI) system has endorsed 3 Local Operating Units as being compliant with the ROC’s...

JWG analysis. Until the world has a definitive LEI, we are going to have to recognise that piecemeal adoption brings with it significant hidden costs...

Working late into Tuesday night, European lawmakers concluded a compromise over the new Markets in Financial Instruments Directive (MiFID II).  The final text has...

At a recent conference in Switzerland, Scott O’Malia of the CFTC spoke out against his organisation’s approach to cross-border regulation thus far.  The speech,...

On 10 October, the ESMA released its 2014 work programme and budget for the next fiscal year. Emphasising six key areas of focus for...