31 October 2014

67470

Robert PowellEtrali Trading Solutions - London

The next challenge: fostering a culture of good conduct

03 October 2014  |  4761 views  |  0  |  Recommends 0

Few industries have faced sterner criticism over culture and conduct than financial services. Unfortunately, the growing regulatory burden means this challenge is more complex than ever. The Libor scandal, for instance, highlighted the nuanced difference between regulatory non-compliance and poor conduct; between breaking rules and breaking the s...

TagsTrade executionRisk & regulation
Robert PowellEtrali Trading Solutions - London

Bringing Surveillance to Europe

26 June 2014  |  926 views  |  0  |  Recommends 0

Proposed investor protection requirements in Europe represent a seismic shift in the way that European regulated firms deal with records retention. European compliance officers are facing a raft of new proposals driven by MIFID II. These range from transparency and data publication through to investor protection mandates. Inside the investor prote...

TagsRisk & regulationInnovation
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Robert PowellEtrali Trading Solutions - London

The changing mobile recording landscape

16 September 2013  |  1297 views  |  0  |  Recommends 0

With mobile and electronic communication fast exceeding the fixed line phone, the way we connect with each other is changing. Regulators have recognised this to be true within financial markets as wel...

TagsRisk & regulationInnovation
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