4467 Results from /regulation
Retired Member
In my last blog, we explored the 3 core client lifecycle challenges facing wealth managers – regulatory compliance, operational and technological challenges and client experience impacts. Considering these challenges, it’s plain to see that the HNWI client lifecycle management process is crying out to be digitized. But what does digitizing the cl...
26 October 2016 /regulation
Ivy Schmerken Editorial Director at FlexTrade Systems
Disclosure is the rage in financial markets regulation and the latest set of proposals relate to order handling rules. Regulators are seeking to boost transparency into the order routing practices of broker-dealers and trading venues that reroute their orders in U.S. listed equities across exchanges and other trading venues. As many know, on July 1...
25 October 2016 /regulation
Regtech is being added to the canon of financial technology buzzwords. But what does it offer and how should the industry embrace this concept? This increasingly common term is a subset of the fintech movement to find smarter technology solutions to solving difficult problems or tapping into great opportunities for revenue. Essentially regtech is
A Culture of Compliance…sure we have that. That’s what everyone says. But do you really? It’s not just about talking the talk, but walking the walk too. Maybe you have strong policies and procedures documenting all the necessary parts of your compliance program, but how are those carried out and embodied by your employees and management? Revie...
25 October 2016 /regulation /retail
David Andrzejek VP Vertical Solutions at Datastax
For years, London has been the fintech capital of the world. Is that likely to change now that Britain is gearing up to leave the EU before April 2019? While U.S. regulators have struggled to create a regulatory framework that supports innovation in banking, the U.K. and fellow European Union nations have charged full steam ahead toward open ba
Diederick Van Thiel Visionary Board Member | CEO | NED at AdviceRobo | IKANO Bank | Ikano Insight
New technologies drive cost/income breakthroughs New technologies like machine learning, biometry and block chain have entered the financial industry and will impact the banking battle on cost/income big time! The results of the Finextra/AdviceRobo survey produced this summer on Robo-Advice show that there is an increasing awareness of the potenti...
21 October 2016 /regulation /startups
Competition amongst exchanges was a defining theme in MiFID I, but when it comes to best execution and trading venue fee structures, MiFID II might reverse some of that. MiFID II acknowledges that exchanges compete on fee structures and even establishes some basic rules (see RTS 10). But by tightening the bolts on best execution obligations, the n...
21 October 2016 /regulation
‘Artificial Ignorance’ may sound like a parody that expresses a blissful retreat from the hype and fears of Artificial Intelligence. But it is not. In this case, ignorance is the act of ignoring unimportant data, allowing you to focus on what is important and necessary in order to create value. Introduction “Artificial Ignorance” is a term that re...
19 October 2016 /regulation Innovation in Financial Services
Violating sanctions can be deadly for a business. Compliance is the answer, but how can corporates – traditionally less regulated than their banking counterparts – ensure this? While there have been several major sanctions violations making the news in the past few years, the bulk of these stories have been focussed on banks, mainly as they are mor...
18 October 2016 /regulation
Keith Stonell Managing Director, EMEA at Guidewire
Where in the world are you most likely to find a connected car? Los Angeles? London? Rome? Most people would think that Silicon Valley, home of Google self-driving cars and Tesla with its (controversial) autonomous driving features, is the most likely place. There is no denying that the USA dominates many areas of technology, but when it comes to...
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