About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Blogs

Data Management Practitioners Take Increasingly Dynamic Approach to Regulatory Compliance

Subscribe to our newsletter

Regulatory compliance continues to be a burden for data management practitioners working in capital markets, but approaches are changing as firms move towards managing reference data once for as many regulations as possible, adopt a utility model to ease the burden, or look to regtech solutions to support reporting.

The ongoing challenges of compliance were discussed during a panel session that reviewed the regulatory landscape and the data management response at A-Team Group’s recent Data Management Summit in New York City, but they were tempered by positivity among panel members about regulation and the benefits that strong, yet agile, data management can deliver beyond compliance.

The panel was moderated by Dessa Glasser, principal at Financial Risk Group and independent board member at Oppenheimer & Co, and joined by Connie Zhang, US data and analytics officer at the Agricultural Bank of China; Arvind Joshi, director and data management lead at Scotiabank; Ken Krupa, CTO at MarkLogic; Maria Ravelo, head of product management for Datascope at Thomson Reuters (now Refinitiv); and Peter Moss, CEO at the SmartStream Reference Data Utility (RDU).

As well as discussing the challenges and opportunities of regulatory compliance, the panel focused on forthcoming regulations including Fundamental Review of the Trading Book (FRTB) and AnaCredit, both of which have significant data demands. It also considered the potential conflict arising from the personal data requirements of Markets in Financial Instruments Directive II (MiFID II) and the personal data privacy afforded by General Data Protection Regulation (GDPR).

If you would like to find out more about the regulatory landscape and data management response, listen to the podcast of the panel discussion at the Data Management Summit.

Related

AUDIO

Related content

WEBINAR

Recorded Webinar: Mastering Data Lineage for Risk, Compliance, and AI Governance

Financial institutions are under increasing pressure to ensure data transparency, regulatory compliance, and AI governance. Yet many struggle with fragmented data landscapes, poor lineage tracking and compliance gaps. This webinar will explore how enterprise-grade data lineage can help capital markets participants ensure regulatory compliance with obligations such as BCBS 239, CCAR, IFRS 9, SEC requirements...

BLOG

Is the End in Sight? Plotting the Journey to Consolidated Tape in the EU and UK Markets

By Anne Plested, MCSI, Senior Product Manager for Regulation, ION Markets. The realization of consolidated tape has been long-awaited for equities trading in the UK and the European Union (EU). With the European Commission (EC) adopting the enabling technical standards on 12 June and the European Securities and Markets Authority (ESMA) launching its search for...

EVENT

TradingTech Briefing New York

Our TradingTech Briefing in New York is aimed at senior-level decision makers in trading technology, electronic execution, trading architecture and offers a day packed with insight from practitioners and from innovative suppliers happy to share their experiences in dealing with the enterprise challenges facing our marketplace.

GUIDE

Regulatory Data Handbook 2025 – Thirteenth Edition

Welcome to the thirteenth edition of A-Team Group’s Regulatory Data Handbook, a unique and practical guide to capital markets regulation, regulatory change, and the data and data management requirements of compliance across Europe, the UK, US and Asia-Pacific. This year’s edition lands at a moment of accelerating regulatory divergence and intensifying data focused supervision. Inside,...