22 May 2018

Financial Services Regulation

A Finextra Community Group

438Posts 1,472,325Views 65Comments

Latest blog posts

Ivy SchmerkenFlexTrade Systems - Great Neck

SEC Steers Pilot on Equity Trading Fees and Rebates Amid Headwinds

07 May 2018  |  3795 views  |  0 comments | recommendations Recommends 0

Diving into one of the more controversial issues in equity market structure, U.S. regulators are moving forward with the transaction-fee pilot that will force stock exchanges to lower the fee caps on rebates they pay to brokers and market makers. “I think the SEC is about to embark upon a productive time for assessing market structure reforms,” sai...

TagsTrade executionRisk & regulation
Laura GlynnFenergo - Dublin - London- New York - Sydney

13 Points of Clarification for FinCEN Final Rule CDD

19 April 2018  |  8070 views  |  0 comments | recommendations Recommends 0

1. Beneficial Ownership Threshold FinCEN has reiterated that the specified threshold (25%) is a floor, not a ceiling. It has left to the discretion of covered financial institutions (FIs) to implement stricter thresholds if they so choose. In addressing a requirement to impose stricter thresholds for certain customers, FinCEN directs that any incr...

TagsRisk & regulationWholesale banking
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Henri Wajsblat
Henri WajsblatAnaplan - Paris

Don’t let ringfencing get the better of you: connected planning will make compliance a breeze

16 April 2018  |  3828 views  |  1 comments | recommendations Recommends 0

Increasing regulation is just one thing we’ve inherited from the 2008 financial crisis. While it may seem like a growing paranoia within the industry, making sure the economy is better prepared for up...

TagsRisk & regulationInnovation
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

KYC - More Than Just Satisfying Regulators

09 April 2018  |  6238 views  |  0 comments | recommendations Recommends 0

When most banking professionals think of compliance they think of roadblocks to doing what they want to do. They think of check the box activities that they do simply to prevent regulators and interna...

TagsRisk & regulationInnovation
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

Government Backed, Blockchain-Based KYC Registries: The Good, the Bad, and the Verdict

26 March 2018  |  8864 views  |  2 comments | recommendations Recommends 0

KYC requirements have become a very time consuming and costly process, requiring different banks to conduct similar (if not the same) due diligence on the same customers over and over again. This be

TagsBlockchainInnovation
Freddie McMahon
Freddie McMahonDF2020 Ltd - London

Economies of Compliancy, an opportunity for leadership and chatbots

23 March 2018  |  5747 views  |  0 comments | recommendations Recommends 0

The Economies of Compliancy is an emergent economics term that describes a competitive advantage of sharing practical regulatory knowledge and practices across entities. By means of a utility-based cl...

TagsArtificial IntelligenceRisk & regulation
Ron Delnevo
Ron DelnevoCash & Card World - Leatherhead

LINK : can Nicky Morgan be a Genuine Consumer Champion?

06 March 2018  |  4913 views  |  1 comments | recommendations Recommends 1

I was in Parliament the other week, in a Committee Room, listening to a lot of promises being made by the LINK ATM Network. The promises boil down to the claim by LINK that they will never let any tow...

TagsPaymentsFinancial inclusion
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

The Only Constant is Regulatory Change

02 March 2018  |  1948 views  |  0 comments | recommendations Recommends 0

For financial institutions, especially global ones, the myriad of regulations that they must adhere to is staggering. The difficulty with that is not just the number of targets they need to hit, but t...

TagsRisk & regulationInnovation
Robin Smith
Robin SmithActiance - Theale

eComms is changing, and so is compliance - are you?

22 February 2018  |  3476 views  |  0 comments | recommendations Recommends 0

The convergence of communications and collaboration tools has created an increasingly complex set of interactions among multiple parties over a wide range of channels. The challenge for regulated ente...

TagsRisk & regulation
David Morris
David MorrisRegTek.Solutions - London

The year ahead in Regulatory Reporting

01 February 2018  |  6696 views  |  0 comments | recommendations Recommends 0

New year, New Regulations, New Challenges With the year of MIFID II behind us, firms can now start looking ahead at what’s coming next over the horizon. Well, almost. The MIFIR compliance date may be...

TagsRisk & regulationPost-trade & ops
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About this group join  Join us

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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