28 June 2017

Financial Services Regulation

A Finextra Community Group

404Posts 1,093,385Views 55Comments

Latest blog posts

Thomas HookPegasystems Inc. - Cambridge

Artificial Intelligence: The Next Step in Financial Crime Compliance Evolution

26 June 2017  |  6129 views  |  0 comments | recommendations Recommends 0

Financial Services compliance departments are constantly turning to technology to find efficiencies and satisfy increasingly tough regulatory examinations. It started with simple robotics, which can provide great operational efficiencies and help standardize processes. Never ones to rest on their laurels, compliance departments have begun looking ...

TagsRisk & regulationInnovation
Neville LaceyOFX (formerly UKForex) - London

International payments and the need for a dedicated regulator

02 June 2017  |  9504 views  |  1 comments | recommendations Recommends 0

Most international payments providers exist as an alternative to high street banks. They provide their customers with a good deal, are transparent about their fees, deliver excellent customer service, and transfer money quickly, without hassle. Despite this, the wider international payments industry has been tarnished by allegations of profiteering...

TagsPaymentsRisk & regulation
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Robin Smith
Robin SmithActiance - Theale

Why Enterprises Should Extend eComms Compliance and eDiscovery Defences

02 June 2017  |  8800 views  |  0 comments | recommendations Recommends 0

Many enterprise electronic communications (eComms) applications offer an attractive proposition to businesses by delivering lower costs, more features and access to newer desktop apps. But while they ...

TagsSecurityRisk & regulation
Stuart Lacey
Stuart LaceyTrunomi - London

GDPR 1 Year Countdown: Ready or Not?

30 May 2017  |  4803 views  |  0 comments | recommendations Recommends 0

In less than 1 year the General Data Protection Regulation (GDPR) will be enforced. If you haven’t heard by now; the GDPR will fundamentally change the way that companies capture, manage and store inf...

TagsRisk & regulationBrexit
Thomas Hook
Thomas HookPegasystems Inc. - Cambridge

Robotics and AML: Enhancing, Not Replacing, Your Analysts

16 May 2017  |  4486 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...

TagsRisk & regulationInnovation
Ivy Schmerken
Ivy SchmerkenFlexTrade Systems - Great Neck

Order Protection Rule Tug-of-War

25 April 2017  |  4224 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 invest...

TagsTrade executionRisk & regulation
Robin Smith
Robin SmithActiance - Theale

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

25 April 2017  |  4145 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  |  4212 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  |  3266 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  |  8203 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
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About this group join  Join us

Founded by Anthony Carfang
Date 01 Jul 2010
Group profile
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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Neville Lacey
Neville Lacey

I am head of the UK and Europe at OFX, o...

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Robin Smith

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Thomas Hook

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Stuart Lacey

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Ben Knieff

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