Paul Rogers has joined SmartStream Technologies within its middle office and trade process management solutions business. Rogers, previously with Omgeo, Netik and Fidelity Brokerage Services, will be based in London and will report to UK principal consultant Lee Adams. His focus will be on SmartStream’s TLM PA (Transaction Lifecycle Management – Process Automation) product.
To date, the industry’s regulatory compliance focus for upcoming European MiFID II and Market Abuse Regulation (MAR) has been on issues including the structure of trading facilities, systematic internalisation, governance, best execution and time-stamping. MiFID II and MAR also contain provisions, however, increasing the requirements for recording and archiving voice communication related to securities trading....
Following the move in the US to relax mark to market accounting rules, representatives from the European Union have called for greater convergence between Europe and the US in order to level the playing field. EU politicians including Italy’s Finance Minister Giulio Tremonti and French Finance Minister Christine Lagarde are concerned that the region’s banks...
Now in its 10th year, RegTech Summit London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to innovate the compliance function and response.
Six months after Markets in Financial Instruments Directive II (MiFID II) went live, how compliant is your organisation? If you took a tactical approach to cross the compliance line on January 3, 2018, how are you reviewing and renewing systems to take a more strategic approach and what are the business benefits of doing so?...