21 October 2017

Risk & regulation

Laura GlynnFenergo - Dublin - London- New York - Sydney

FinCEN Final Rule: Redefining Client Due Diligence Requirements

20 October 2017  |  2045 views  |  0 comments | recommendations Recommends 0

Coming into force on May 11th, 2018, FinCEN’s Final Customer Due Diligence (CDD) Rule (i.e. FinCEN Final Rule (CDD)) will bring in sweeping new changes to how financial institutions collect, maintain and act upon beneficial ownership information and conduct customer due diligence. The Rule codifies new and existing CDD requirements under the Bank ...

TagsRisk & regulationTransaction bankingGroupFinancial Services Regulation
Freddie McMahonDF2020 Ltd - London

GARTNER RESEARCH EARLY STAGE ENTERPRISE CHATBOT INSIGHTS THE REVOLUTION OF CONVERSATIONS

20 October 2017  |  2306 views  |  0 comments | recommendations Recommends 0

Gartner Group have recently identified the following four emergent trends for using Chatbots in the Enterprise: 1. Call Center Help Desk: Chatbots are reducing the cost of customer queries by handling more and more of the customer conversations, with handoffs to help desk workers when appropriate. 2. Operational Approvals: Chatbots are reducing t...

TagsArtificial IntelligenceRisk & regulationGroupFintech innovation and startups
More blog posts
Darren Thomas
Darren ThomasIHS Markit - New York

The Good, The Bad and The Ugly: MiFID II’s Buy-Side Sell-Side Standoff

19 October 2017  |  2594 views  |  0 comments | recommendations Recommends 0

Investment managers and brokers both lose unless they resolve differences by the MiFID II deadline Repapering of terms under MiFID II is potentially a massive problem for the buy-side. This issue is ...

TagsRisk & regulationPost-trade & opsGroupMiFID
Breana Patel
Breana PatelBonova Advisory | Risk &Regulatory Advisory - Manhattan

AML BSA compliance : Revised CDD rule

17 October 2017  |  3047 views  |  0 comments | recommendations Recommends 0

Background 11.5 million documents, a staggering number, were leaked from Panamanian law firm ‘Mossack Fonseca’ in 2015. The contents of these documents, mostly financial information about wealthy indi...

TagsRisk & regulationWholesale bankingGroupFinancial Services Regulation
Christian Voigt
Christian VoigtFidessa - London

Who makes the decisions around here?

17 October 2017  |  2494 views  |  0 comments | recommendations Recommends 0

Recording the execution decision maker is a new requirement under MiFID II. Working out how to populate that field turns out to be trickier than expected. Take a buy-side that gives strict execution i...

TagsRisk & regulationWholesale bankingGroupMiFID
Breana Patel
Breana PatelBonova Advisory | Risk &Regulatory Advisory - Manhattan

CCAR : Current and Future trends

16 October 2017  |  2967 views  |  0 comments | recommendations Recommends 0

It’s been nearly a decade since the financial crisis of 2008. However, the Comprehensive Capital Analysis and Review continues to be an ever-evolving process. Trends for 2017 and 2018 show that the Fe...

TagsRisk & regulationTransaction bankingGroupFinancial Services Regulation
Anne Plested
Anne PlestedFidessa - London

The MiFID II waiting game

13 October 2017  |  4226 views  |  0 comments | recommendations Recommends 0

We are now well into October and market participants are still waiting patiently for ESMA to provide details of instrument data for MiFID II. The industry is keen to consume important data to drive fu...

TagsTrade executionRisk & regulation
Freddie McMahon
Freddie McMahonDF2020 Ltd - London

CHATBOT BANK TELLERS BEGIN JOINING THE WORKFORCE WITH REGTECH CHATBOTS EXPECTED TO FOLLOW IN 2018

13 October 2017  |  3566 views  |  0 comments | recommendations Recommends 0

DBS Bank has been recognised as the Bank of the Year, Asia by The Banker, a member of the Financial Times Group, and Best Bank in Asia-Pacific by Global Finance. The bank has also been named "Saf...

TagsArtificial IntelligenceRisk & regulationGroupFintech
Charles Platt
Charles PlattSoftware AG - London

PSD2 - 'Pop Idol' for Fintechs?

11 October 2017  |  1280 views  |  0 comments | recommendations Recommends 0

There is a dichotomy at the heart of talent shows like Pop Idol. Catapulting inexperienced people into the mainstream music business, controlled by distributors rather than producers, typically leads ...

TagsRisk & regulationGroupBusiness Knowledge for IT
Reetu Khosla
Reetu KhoslaPegasystems - Boston

Is RegTech the Silver Bullet to Fighting Financial Crime or is there more to it?

10 October 2017  |  6354 views  |  0 comments | recommendations Recommends 0

The 2016 Global Terrorism Index reported a 650% increase in deaths from terrorism amongst OECD member countries. In this environment, it is no surprise that governments are making a strong attempt to...

TagsRisk & regulationSibosGroupFinextra@Sibos
Previous 1 | 2 | 3 | 4 | 5 |Next
members
29,795
Members
comments
17,833
Comments
blogs
11,681
Posts
bloggers 
1,101
Active bloggers

Top bloggers: 30 days

Most viewed Engaging
Freddie McMahon
Freddie McMahon

Pioneering RegTech Chatbots http://www.c...

Breana Patel
Breana Patel

Founder of a management consulting firm...

Anne Plested
Anne Plested

I head up the regulation change programm...

Reetu Khosla
Reetu Khosla

Reetu Khosla is Sr. Director Risk, Compl...

Who is commenting on Risk & regulation posts

Ed Daniel
Breana Patel
Ramdas Narayanan
Ralf Ohlhausen
Jeff Riggle
Carlos Figueredo
Janne Jutila
Balwant Surti
Ketharaman Swaminathan
Hugh Whitehill
Stephan Kotze
Graham Seel