24 October 2014

62482

Magnus AlmqvistSunGard - London

Investor Protection: The Next Focus of Automated Compliance

04 June 2014  |  1942 views  |  0  |  Recommends 0

The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing Directive aim to ensure that firms 1) sell only suitable products to their clients and 2) feel comfortable that clients can afford them and understand...

TagsRisk & regulation
Magnus AlmqvistSunGard - London

Five Things EU Firms Should Do Before Going MAD

26 March 2014  |  1917 views  |  0  |  Recommends 0

In today’s regulation “wonderland,” EU capital markets participants are beginning to go MAD. The current timetable for the market abuse regulation (MAR) proposed by the EU Commission will likely take effect in 2015, but preparation for this regulation should commence as soon as possible. The proposed MAR and MAD II is extensive compared to the cu...

TagsRisk & regulationInnovation
More blog posts
Magnus AlmqvistSunGard - London

Building A Culture Of Compliance In Capital Markets

07 March 2014  |  1106 views  |  0  |  Recommends 0

For a number of years, the market has been talking about creating a culture of compliance. Following the credit crisis in 2008, the urgency of being prepared was at the forefront of everyone’s mind, p...

TagsRisk & regulation
Magnus AlmqvistSunGard - London

Is the World Going MAD?

20 January 2014  |  1259 views  |  0  |  Recommends 0

The European Securities and Markets Authority (ESMA) recently issued a discussion paper (14 November 2013, ESMA/2013/1649) on the possible implementation measures, or interpretation of, the market...

TagsRisk & regulation
Magnus AlmqvistSunGard - London

The New Role of the Compliance Officer

13 September 2012  |  2747 views  |  1  |  Recommends 0

With the unprecedented rate of change in the financial markets, and with regulators across the board stepping up the enforcement of existing regulation, one can’t help but wonder: what does this mean...

TagsTrade execution
Magnus AlmqvistSunGard - London

Capital Markets Regulatory Compliance: An Olympian Task

09 August 2012  |  2476 views  |  0  |  Recommends 0

With the London Olympics in full swing, one can’t help but think of the state of our industry and the challenges ahead. When it comes to regulation and compliance for the capital markets, we certainly...

TagsTrade executionRisk & regulation
Previous 1 Next
 
1,307
Active bloggers
24,628
Members
8,173
Posts
11,364
Comments

Top bloggers: 30 days

Most viewed Engaging
Ketharaman Swaminat...

As Founder and CEO, S. Ketharaman provid...

Steve Sprague

Steve Sprague has been working in the el...

Leon Rees

Leon Rees - Financial Markets and Techno...

Who is commenting on these posts

Lu Zurawski
Sandra Lee
Asif Faruque
Ketharaman Swaminathan
Pat Carroll
Melvin Haskins
James Van Dyke
Jim Wells
Brett King
John Candido
Paul Love
Mosh Adetoro