Editor’s pick

ESMA Finally Puts Its Foot Down on Consolidated Ticker Tape

The European Securities and Markets Authority (ESMA) has bitten the bullet on a real-time consolidated ticker tape for European equities, following the failure of an industry-led solution to emerge. In a review of market data pricing published today, the regulator warns that market data costs under MiFID II are still too high, confirming plans to...


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FSB Weighs In On Risks Inherent In Cloud Adoption For Financial Service

The rapid adoption of cloud computing and data services by financial institutions could raise new implications for financial stability, warns global regulatory body the Financial Stability Board (FSB) – including a lack of transparency when it comes to legal and regulatory compliance. A new report from the FSB released this week highlights potential issues for...

12 Days of Compliance

By Philip Naughton, Partner, ACA Compliance Group. On the first day of Christmas, the industry gave to me…. twelve recurring compliance issues Unfortunately, when it comes to compliance programmes this Christmas, UK financial services firms are still making the same errors, over and over again. Recent compliance reviews carried out by ACA Compliance on financial...

SMCR Now Underway – But Are Firms Ready?

Yesterday the Senior Managers and Certification Regime came into force for the asset management industry, bringing into the fold the remaining 47,000 FCA-regulated firms who must now start performing additional checks, providing formal statements and submitting data on appointed managers. But with some uncertainty around how strict the regulator will be in its approach to...



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FEATURED WEBINAR

Upcoming Webinar: Digital Investor Onboarding and Transformation for Asset Servicers and their partners

Date: 6 February 2020 Time: 10:00am ET / 3:00pm London / 4:00pm CET Transfer agents, fund administrators & custodians are endeavouring to deliver a better Investor Experience (IX) for their clients, seeking to differentiate their offerings and to truly deliver value adding services across the entire investor lifecycle. The race is on to stand out…

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Regulatory Data Handbook 2019/2020 – Seventh Edition

Welcome to A-Team Group’s best read handbook, the Regulatory Data Handbook, which is now in its seventh edition and continues to grow in terms of the number of regulations covered, the detail of each regulation and the impact that all the rules and regulations will have on data and data management at your institution. This…

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Top White Papers

Addressing the Reference Data Challenges of SFTR

The EU’s Securities Financing Transactions Regulation (SFTR), which comes into effect in April 2020, is a data-heavy transaction reporting regulation along the lines of MiFIR and EMIR, but has a significant reference data element as well. The regulation is extensive, with some 150 data fields in its mandatory regulatory reports, a dozen of which will...

Trade Surveillance and Mobile Recording in the Era of Data Privacy

The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections. At the same time, the public’s attitude toward data privacy has hardened, most visibly through new regulations...

Solving the KYC & AML Challenge for Cryptocurrencies, Tokens & ICOs

The cryptocurrency market is at an inflection point. It has gained substantial momentum from early investors (private & retail), day traders and prop shops but it has so far failed to get substantive engagement from wider institutional players. The crypto marketplace today is a mix of exchange and OTC-traded activity with little of the market...

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Breakfast Briefing: Meeting the Data Requirements of FRTB London

The Fundamental Review of the Trading Book (FRTB) Breakfast Briefing, will examine how the capital markets industry is approaching FRTB data management and will look at the implications for the ways that firms source, manage and store data for FRTB compliance.

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Upcoming Webinar: Digital Investor Onboarding and Transformation for Asset Servicers and their partners

Date: 6 February 2020 Time: 10:00am ET / 3:00pm London / 4:00pm CET Transfer agents, fund administrators & custodians are endeavouring to deliver a better Investor Experience (IX) for their clients, seeking to differentiate their offerings and to truly deliver value adding services across the entire investor lifecycle. The race is on to stand out...

Top Knowledge Hub picks

MiFID II

Markets in Financial Instruments Directive II (MiFID II) builds on the original MiFID of 2007 to improve the competitiveness of European markets by creating a single market for investment services and activities, and ensuring protection for investors in financial instruments. Read everything you need to know and get access to all related content.

Regulatory Reporting

Regulatory reporting comprises the submission of raw or formatted data as required by regulators to evaluate and track the financial and operational status of financial institutions and their compliance with required regulatory provisions. Find out all about it in our Knowledge Hub.

Market Abuse Regulation (MAR)

The Market Abuse Regulation (MAR) provides an EU-wide regulatory framework on market abuse, including measures to enhance the attractiveness of securities markets for capital-raising through the prohibition of practices such as insider dealing, unlawful disclosure of inside information and market manipulation. Find out more and access all our key resources here.

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  • Regulatory Data Handbook 2019/2020 – Seventh Edition

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  • Entity Data Management Handbook – Fifth Edition

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