A-Team Insight Author: sharon
Video: MCO’s Avni Katechia Discusses Proactive Approaches to Regulatory Change Management Challenges
In this video, Avni Katechia, Senior Solutions Consultant at MyComplianceOffice (MCO), discusses the evolving challenges of regulatory change management and how firms are adapting their compliance strategies to meet increasing demands. She highlights the complexities of managing regulatory obligations across multiple jurisdictions, the growing focus on data protection regulations such as GDPR and CCPA, and...
TMX Group Expands to US with Launch of AlphaX Alternative Trading System
TMX Group has announced the launch of AlphaX US, a new Alternative Trading System (ATS) venue designed to enhance execution quality for US-listed securities. This marks the first international expansion for TMX Group’s Markets division beyond Canada. AlphaX US will exclusively trade securities governed by Reg NMS, including common stocks, exchange-traded funds, and American depository...
FinScan Data Quality Chief Seeks to End Compliance Failure Excuses
The dog ate my homework. The train was delayed. The postman mislaid your birthday card. At one time or another, we’ve all used a weak excuse to forestall censure for an error of behaviour or judgement. And mostly, we’ve got away with it. In financial regulatory compliance, however, excuses won’t wash. Especially when it comes...
GLEIF Begins a New Decade in Growth Mode
The Global Legal Identifier Foundation (GLEIF) enters its second decade this month with its novel system of identifiers for everything from companies and their financial instruments to real assets fast becoming a global standard. While the next five years are expected to see yet more entities join the GLEIF’s open data project, the organisation’s immediate...
Survey Highlights Challenges in Investment Research Data Amid Rising Demand for Systematic Strategies
The growing adoption of quantitative and AI/Machine Learning (ML) techniques, alongside the rise of systematic investment strategies, has elevated the importance of investment research data, according to a recent Bloomberg survey of over 150 quants, research analysts, and data scientists. The survey, conducted during a global series of client workshops, identified data coverage, timeliness, and...
SEC Penalizes Twelve Firms for Recordkeeping Lapses, Totalling $63 Million in Fines
The U.S. Securities and Exchange Commission (SEC) has imposed more than $63 million in combined penalties on nine investment advisers and three broker-dealers for failing to properly maintain and preserve required electronic communications. One of the firms received leniency for self-reporting, incurring a substantially reduced penalty. According to SEC findings, the firms and their personnel...
FCA Discussion Paper Invites Stakeholder Input to Shape the Future of UK Cryptoasset Regulation
In December, the UK Financial Conduct Authority (FCA) released its Discussion paper, DP24/4 that outlines its approach for integrating cryptoassets into the UK regulatory framework. The paper focuses on two critical areas: the Admissions & Disclosures (A&D) regime and the Market Abuse Regime for Cryptoassets (MARC), both aimed at fostering market integrity, consumer protection, and...
Nine DTCC Executive Predictions for Global Clearing and Settlement in 2025
As the new year gets into full-swing, nine Depository Trust Clearing Corporation (DTCC) executives share their insights on the evolving landscape of market infrastructure, regulations and technology in the global post-trade clearing and settlement industry. Their outlook focuses on the key themes of innovation, resilience, and agility in response to regulatory dynamics. Navigating an Uncertain...
Financial Services Regulation and Compliance: Five Trends for 2025
Matt Lonsdale, Director – Consulting, Davies 2025 is going to bring some big changes to financial services firms, in terms of regulation and compliance. Here are our top five trends to look out for: Consumer Duty – a continued focus Consumer Duty was a dominant topic for many firms in 2024 and it’s here to...
IPC Acquires Intracom Systems to Strengthen Financial Market Communication Solutions
IPC, the global provider of trading communications technology and financial market connectivity, has acquired Intracom Systems, a specialist in software-based communication solutions. The move is set to enhance IPC’s integrated communication offerings across the financial services sector, spanning front, middle, and back-office operations. The acquisition will see Intracom’s push-to-talk matrix technology integrated into IPC’s flagship...