23 March 2017

Risk & regulation

Maryse GordonUnaVista, London Stock Exchange Group - New York

Consolidate Audit Trail - Timeliness of Reporting

21 March 2017  |  2330 views  |  0 comments | recommendations Recommends 1

Consolidate Audit Trail –Thought Leadership: Timeliness of Reporting While US broker dealers anticipate the initiation of the Consolidated Audit Trail (CAT), many aspects of this regulation remains a topic of conversation for the industry. One area of particular interest is on the subject of timeliness for reporting. ‘Timeliness’ has been defined a...

TagsRisk & regulation
Rolf Van Der Poli-KYC - Singapore

Lack of confidence in your AML CFT program? Why?

21 March 2017  |  2039 views  |  0 comments | recommendations Recommends 0

A substantial number of compliance officers (about 44 per cent) lack confidence in the anti-money laundering (AML) programs of their organizations, according to a new report (#mce_temp_url#) That’s an interesting finding since compliance officers are ultimately responsible for compliance of the whole organization in their role as MLRO. The pace an...

TagsRisk & regulationInnovationGroupAsia Financial Services
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Peter Williams
Peter WilliamsCJC - London

MiFID II: Revenge of The Regulator

20 March 2017  |  3358 views  |  2 comments | recommendations Recommends 0

I'm a movie lover. I've seen more than the average person and can re-watch the same film hundreds of times (I'm looking at you Star Wars, Jaws, Ghostbusters…). When you watch a lot of movies you star...

TagsTrade executionRisk & regulationGroupMiFID
Nicholas Roi
Nicholas RoiPerivan Technology - London

What are the Barriers to FinTech Investment?

15 March 2017  |  8637 views  |  2 comments | recommendations Recommends 0

Is 2017 truly a year of investment for fintech innovation as has been suggested? A report at the end of last year by law firm, Mayer Brown, suggested that financial services firms are keen to make an ...

TagsRisk & regulationBrexitGroupFintech innovation and startups
Ivy Schmerken
Ivy SchmerkenFlexTrade Systems - Great Neck

MiFID II Regulations to Impact U.S. Asset Managers

14 March 2017  |  6239 views  |  0 comments | recommendations Recommends 0

North American broker-dealers and asset managers domiciled in the U.S. are watching their European counterparts gear up for compliance with MiFID II. But will MiFID II affect U.S. broker-dealers and a...

TagsTrade executionRisk & regulationGroupMiFID
Bimal Melwani
Bimal MelwaniEurobits Technologies - Madrid

Will PSD2 impose a Mandatory Dedicated Interface?

14 March 2017  |  3616 views  |  0 comments | recommendations Recommends 0

By Arturo Gonzaléz Mac Dowell, On February 13th 2017 the EBA published its final draft on Regulatory Technical Standards on strong customer authentication and secure communication under PSD2 The offi...

TagsRisk & regulationRetail bankingGroupOnline Banking
Christopher Jones
Christopher JonesPSE Consulting - London

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

14 March 2017  |  3308 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 & regulationGroupFinancial Services Regulation
Alex Novik
Alex NovikAdvapay - Tallinn

Establishing a Payment Institution in Lithuania

14 March 2017  |  3451 views  |  0 comments | recommendations Recommends 0

Given the possibility of the upcoming UK's withdrawal from the EU, Lithuania has offered an interesting proposal for licensing of payment institution. The Lithuanian regulator proposes to issue paymen...

TagsPaymentsRisk & regulation
Stuart Lacey
Stuart LaceyTrunomi - London

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

13 March 2017  |  6639 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 & regulationInnovationGroupFinancial Services Regulation
Jas Matharu
Jas MatharuBusiness Systems (UK) Ltd - London

Accountability and Cultural Change for MiFID II Compliance

13 March 2017  |  2708 views  |  0 comments | recommendations Recommends 1

With less than a year to go until the application of MiFID II, it is becoming increasingly clear that cultural change is being pursued by the financial regulators as a pressure mechanism to achieve sy...

TagsRisk & regulationGroupMiFID
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