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When a financial sector customer becomes less active it is often an important signal that they have reached a new stage in their lifecycle, and critically need specific handling. We will look at some
I have been doing some informal polling on impact of the EU's latest proposed changes to the existing MiFID II Research regime across various forums in the last few days. As you probably know, these c...
I have nothing against Harrogate, well not consciously at least. However, over recent months there has been much discussion about unconscious bias in many walks of life - including mention in this art...
I attended the Substantive Research Unbundling Uncovered MiFID research conference this week. The panels at this event were made up of a mix of market participants and vendors. The mix made for some e...
It is well known that financial criminals are adept at finding the weakest link in a bank’s, or the banking systems, defence to attack. They can often do this by avoiding the immediate defensive measu...
There has been significant discussion, and indeed some confusion, around the impact of MiFID II on investment research. Some investment firms, including M&G recently, have made announcements that ...
Between the time this blog was published and you reading it, new fraud schemes will have emerged. Indeed, with the ever increasing number of, and methods for, payment transactions and the new supporti...
My previous post https://www.finextra.com/blogposting/12517/beware-the-financial-crime-bite-of-the-back-book talked about the dangers lurking in a firm’s back book of existing customers and how to fi...
When people start looking for solutions to financial crime, regulation and compliance there is a natural tendency to start with new customers, known as the ‘front book’. These new customers already...
With eye watering fines and the threat of deferred prosecutions, many banks have been working hard to solve the problems of correctly identifying and screening clients for financial crime purposes ove...
Twitter has been referred to as the Marmite of social media. You either love it or you hate it. I must admit that despite being a regular tweeter, I have been having mixed feelings about this channe
It is that tradeshow time of year when specific communities disappear out of the office to meet up with other people to do the physical rather than virtual/social networking. This last week it was S