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John Cant

Managing Director

MPI Europe Ltd

Member since

06 Jul 2004

Location

London

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You've been quiet - are you Dormant, Deceased or just Gone Away?

When a financial sector customer becomes less active it is often an important signal that they have reached a new stage in their lifecycle, and critically need specific handling. We will look at some possible customer states that all share this common symptom but require quite different handling and priority from different business functions. The

08 December 2020 /identity /crime Data Management and Governance

Will MiFID research arrangements change again?

I have been doing some informal polling on impact of the EU's latest proposed changes to the existing MiFID II Research regime across various forums in the last few days. As you probably know, these changes would create a narrowly defined exception authorising the joint payment for execution services and research on small-cap (defined as up to a m...

01 September 2020 /regulation /wholesale MiFID

But it worked in Harrogate!

I have nothing against Harrogate, well not consciously at least. However, over recent months there has been much discussion about unconscious bias in many walks of life - including mention in this article about data used for algorithms. So let's consider the role that preparation of data for regulatory uses might have, and where issues exist, what...

24 July 2020 /regulation /crime Data Management and Governance

Easy to say, but hard to deliver

I attended the Substantive Research Unbundling Uncovered MiFID research conference this week. The panels at this event were made up of a mix of market participants and vendors. The mix made for some entertaining exchanges between brokers and investment managers on the true value of research. One broker opined that some asset managers may feel that...

13 November 2019 /regulation MiFID

Imagine a miniature financial crime fighter in every router

It is well known that financial criminals are adept at finding the weakest link in a bank’s, or the banking systems, defence to attack. They can often do this by avoiding the immediate defensive measures in applications and getting transactions into the banks payments systems, even on a trusted network such as Swift. Once on the network, criminals...

16 June 2016 /security /payments Innovation in Financial Services

Will MiFID II bring Evolution or Revolution to investment research?

There has been significant discussion, and indeed some confusion, around the impact of MiFID II on investment research. Some investment firms, including M&G recently, have made announcements that they will no longer charge the cost of broker’s research to the investor’s funds, but will pay them out of their own resources – a potentially revolu...

08 June 2016 /regulation MiFID

Fraud ain’t what it used to be

Between the time this blog was published and you reading it, new fraud schemes will have emerged. Indeed, with the ever increasing number of, and methods for, payment transactions and the new supporting technologies, not least mobile and internet banking, the new opportunities for fraudsters are increasing. Banks are realising that the trends in p...

18 May 2016 /payments Trends in Financial Services

You’ve been quiet recently - are you dormant, deceased or just gone away?

My previous post https://www.finextra.com/blogposting/12517/beware-the-financial-crime-bite-of-the-back-book talked about the dangers lurking in a firm’s back book of existing customers and how to find and address them. A key part of this exercise is to understand the data that describes a customer, and hence understand whether they are a risk, a...

09 May 2016 /regulation Trends in Financial Services

Beware the financial crime bite of the back book

When people start looking for solutions to financial crime, regulation and compliance there is a natural tendency to start with new customers, known as the ‘front book’. These new customers already expect to have to go through some onboarding processes, and are typically coming in at a manageable volume. They seem to offer a natural starting poi...

26 April 2016 /regulation Trends in Financial Services

Would you ask someone else if they Know Your Client?

With eye watering fines and the threat of deferred prosecutions, many banks have been working hard to solve the problems of correctly identifying and screening clients for financial crime purposes over the last few years. As they have done so, it is clear that a number of parts of this process are common across banks and so potentially could be pr...

26 April 2014 /regulation Innovation in Financial Services

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John Cant

John's opinions

You've been quiet - are you Dormant, Deceased or just Gone Away?

Will MiFID research arrangements change again?

But it worked in Harrogate!

Easy to say, but hard to deliver

Imagine a miniature financial crime fighter in every router

Will MiFID II bring Evolution or Revolution to investment research?

Fraud ain’t what it used to be

You’ve been quiet recently - are you dormant, deceased or just gone away?

Beware the financial crime bite of the back book

Would you ask someone else if they Know Your Client?

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