25 May 2017

Financial Services Regulation

A Finextra Community Group

399Posts 1,041,097Views 54Comments

Latest blog posts

Thomas HookPegasystems Inc. - Cambridge

Robotics and AML: Enhancing, Not Replacing, Your Analysts

16 May 2017  |  3799 views  |  0 comments | recommendations Recommends 0

The robots are coming, the robots are coming! Everywhere you look, you see whitepapers and discussions about robotics and its use in AML and compliance generally. And rightfully so, this is definitely going to be a boon to the industry in allowing for more efficiency, consistency, and effectiveness. The problem with all the content and hype is tha...

TagsRisk & regulationInnovation
Ivy SchmerkenFlexTrade Systems - Great Neck

Order Protection Rule Tug-of-War

25 April 2017  |  3983 views  |  0 comments | recommendations Recommends 0

There is still uncertainty around the fate of the Order Protection Rule, a key rule governing U.S. stock trading that has led to more complexity, speed and order types, but also protects retail investors from receiving inferior prices on their orders. Also known as the trade-through rule, Rule 611 has been and still is a central tenet of Regulatio...

TagsTrade executionRisk & regulation
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Robin Smith
Robin SmithActiance - Theale

WhatsApp: A reminder that MiFID II compliance is about content not channel

25 April 2017  |  3783 views  |  0 comments | recommendations Recommends 0

As the FCA publishes its near final rules on MiFID II and fines a former investment banker for sharing confidential information over WhatsApp, now is a good time to look at why firms need to be able t...

TagsMobile & onlineRisk & regulation
Saloni Ramakrishna
Saloni RamakrishnaOracle - Bangalore

AnaCredit - the Nuanced regulation

24 April 2017  |  3779 views  |  2 comments | recommendations Recommends 0

I am quite fascinated with the European Central Bank’s (ECB’s) AnaCredit Regulation that came into effect on 18th May 2016 – A regulation that requires granular credit data sets from the national cent...

TagsRisk & regulationEBAday
Henri Wajsblat
Henri WajsblatAnaplan - Paris

The new twists in the road for the future of CCAR

29 March 2017  |  3010 views  |  0 comments | recommendations Recommends 0

Henri Wajsblat, Anaplan’s Director of Financial Services for Product Marketing, interviews Comprehensive Capital Analysis Review (CCAR) expert, Kenneth Gustin, Ph.D., on regulatory reporting programs ...

TagsRisk & regulationInnovation
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

Preventing Due Diligence Issues with FinTech and RegTech

27 March 2017  |  7898 views  |  0 comments | recommendations Recommends 0

Being the subject of an audit or regulatory exam can be a nerve-wracking ordeal. Given most banks disparate systems, inconsistent manual processes, and ever existing human error – there is generally r...

TagsRisk & regulationInnovation
Christopher Jones
Christopher JonesPSE Consulting - London

Does the EBA’s risk based approach to Strong Customer Authentication destroy frictionless payments?

14 March 2017  |  4017 views  |  0 comments | recommendations Recommends 0

There has been a flurry of excitement since the publication of the EBA’s draft Regulatory Technical Standards (RTS) on 23rd February 2017. While there is much to consider within its 153 pages, the fo...

TagsPaymentsRisk & regulation
Stuart Lacey
Stuart LaceyTrunomi - London

GDPR, PSD2 & ePrivacy: New Regulations Will Drive Financial Services Innovation

13 March 2017  |  8817 views  |  0 comments | recommendations Recommends 0

Few people associate regulation with innovation. For some, its seen as a necessary evil to protect consumer rights and fight fraud. For others, it’s a straitjacket that can reduce operational agility....

TagsRisk & regulationInnovation
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

AML Internal Audit: Friend Not Foe

27 February 2017  |  3186 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 ...

TagsRisk & regulationInnovation
Tayloe Draughon
Tayloe DraughonDraughon.us - Chicago

CME Requires Guarantees on Trades

08 February 2017  |  4510 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 assu...

TagsTrade executionRisk & regulation
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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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Ivy Schmerken
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