Systems and controls

Systems and controls

As the public cloud services market continues to mature and grow – up from $178bn in 2015 to $209bn in 2016, according to research...

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,...

The IMF has released a working paper on Systemic Risk Monitoring detailing the policy options and methodologies available to regulators to accurately measure systemic...

A big theme present at a big industry data conference earlier this month was how firms were approaching the BCBS’s standards on risk data...

Thanks to technological hiccup after technological hiccup, High Frequency Trading (HFT) remains a permanent fixture in the financial press. With each blip, regulators and...

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...
cross-selling guidelines, esma report on cross-selling, mifid ii cross-selling, cross selling, cross selling guidelines,

On 22 December 2015, ESMA published a final report outlining guidelines on cross-selling practices under MiFID II.  This follows the publication of a consultation paper...
Online Dispute Resolution, ODR

The European Commission is in the final stages of launching its online dispute resolution (ODR) platform to the public.  This has been an extended...
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...
Chief Compliance Officer, CCO, nysdfs aml regulation, senior managers regime, SMR, smr implementation, senior managers regime implementation

There will no doubt be many concerned faces amongst senior management this year as the new rules for the Senior Managers and Certification Regime...

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