27 February 2017

Financial Services Regulation

A Finextra Community Group

390Posts 965,505Views 50Comments

Latest blog posts

Thomas HookPegasystems Inc. - Cambridge

AML Internal Audit: Friend Not Foe

7 hours ago  |  1198 views  |  0 comments | recommendations Recommends 0

I’ve been on both sides of this coin. When I worked in a Financial Intelligence Unit in a major global financial institution, internal audit was looked at as an enemy. Internal auditors were there to play “gotcha” and expose any error, no matter how small. My first thought was not, “how can they help us improve the program?” but rather, “how can w...

TagsRisk & regulationInnovation
Tayloe DraughonDraughon.us - Chicago

CME Requires Guarantees on Trades

08 February 2017  |  3349 views  |  0 comments | recommendations Recommends 0

The CME Group just amended rule 574 stating: “All connections to the Globex system, including direct connections of non-clearing members or customers, must be guaranteed by a clearing member that assumes financial responsibility for all activity through the connection. With respect to transactions given up to other clearing members, such guarantee...

TagsTrade executionRisk & regulation
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Sufyan Khan
Sufyan KhanAxiomSL - London

UK Stress Testing: Putting stress to the test

06 February 2017  |  2902 views  |  0 comments | recommendations Recommends 2

In October 2015, the BOE of England (BOE) published details of the 2016 Stress Test Scenario, which formed the basis of the stress tests that were conducted in 2016 to assess the resilience of the UK ...

TagsRisk & regulation
Abhishek Chatterjee
Abhishek ChatterjeeNTT DATA Inc - London

Capital Market - How to drive Technology led growth?

04 February 2017  |  4339 views  |  0 comments | recommendations Recommends 0

Capital market industry is facing challenges across revenue growth, capital charges and high structural costs. Investment banking revenue fell 4% last year mainly due to 8% decline in Fixed income, 5%...

TagsBlockchainPost-trade & ops
Jason Boud
Jason BoudMultiple - London

Welcome to RegTech: the age of disrupting the status quo is here

04 February 2017  |  4939 views  |  0 comments | recommendations Recommends 0

On Tuesday 31st January at a crowded event near Canary Wharf, a select group of RegTech innovators, accelerators and venture capitalists came together to discuss this emerging market. Attendees heard ...

TagsRisk & regulationStart ups
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

AML Compliance Failure: The Gift that Keeps on Giving

30 January 2017  |  3019 views  |  0 comments | recommendations Recommends 0

It’s no state secret that Anti-Money Laundering (AML) compliance failures can cause serious harm. But what may not be obvious is that by the time the failure has made it into the public domain, the ba...

TagsRisk & regulation
Martijn Groot
Martijn GrootAsset Control - Amsterdam

The Regulatory Web of Complexity

11 January 2017  |  2497 views  |  0 comments | recommendations Recommends 0

At the centre of financial services risk management and regulatory compliance is the convergence of data from a huge range of information silos, departments, product lines, customers and risk categori...

TagsRisk & regulationPost-trade & ops
Jason Boud
Jason BoudMultiple - London

Could RegTech save the banking industry?

30 December 2016  |  15122 views  |  0 comments | recommendations Recommends 0

RegTech alone will not save the banking industry. It must embrace digital and work out the supply chain disruption that #FinTech has created. However with profit margins continuing to shrink, regulat...

TagsRisk & regulationWholesale banking
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

FATF’s AML Evaluation of the US: Will it Drive More Regulatory Changes?

12 December 2016  |  3364 views  |  0 comments | recommendations Recommends 0

On December 1, 2016 the Financial Action Task Force (FATF) released its Mutual Evaluation Report of the US Anti-Money Laundering (AML) and Counter Terrorist Financing (CTF) Measures. While the report ...

TagsRisk & regulationInnovation
Henry Hilska
Henry HilskaConvexity Solutions - New York

KYC: Solving the Regulatory Challenges of Data Privacy

02 December 2016  |  5784 views  |  1 comments | recommendations Recommends 0

Data Privacy regulations increase challenges for bank KYC and AML programs Financial services organizations are under increasing pressure from regulators to focus on KYC and client due diligence. Thi...

TagsRisk & regulationRetail banking
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Founded by Anthony Carfang
Date 01 Jul 2010
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This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.
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