Dale Richards, former president of Fame Information Services and leader of the global enterprise data initiative at SunGard, is to leave the company, following the integration of Fame and the launch of the enterprise initiative. He describes his departure as amicable and planned.
Market abuse – unlawful disclosure of inside information, insider trading, circular trading, “pump and dump” schemes, etc. – poses significant threats to the integrity of capital markets. In 2024, global trading house Trafigura agreed to pay a $55 million fine to the U.S. Commodity Futures Trading Commission (CFTC) for trading with non-public information, manipulating a...
In today’s increasingly distributed work environment, accessibility is everything – and firms are having to find new ways to meet their compliance requirements whilst managing a workforce that is more disparate, fragmented and remote than ever before. “With competing regulatory focus areas requiring vigilant oversight and cost pressures being higher than ever, it’s imperative that...
Now in its 3rd year, the AI in Capital Markets Summit returns with a focus on the practicalities of onboarding AI enterprise wide for business value creation. Whilst AI offers huge potential to revolutionise capital markets operations many are struggling to move beyond pilot phase to generate substantial value from AI.
The Digital Operational Resilience Act (DORA) has fundamentally reshaped the European Union’s financial regulatory landscape, with its full application beginning on January 17, 2025. This regulation goes beyond traditional risk management, explicitly acknowledging that digital incidents can threaten the stability of the entire financial system. As the deadline has passed, the focus is now shifting...
