The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, is launching a common supervisory action (CSA) with national competent authorities on the application of MiFID II suitability rules across the EU, to be conducted during 2020. The CSA will focus on the application of the MiFID II requirements on the assessment of suitability. The regulator will evaluate the progress made by intermediaries in the application of the requirement, and analyse whether, and how, the costs of investment products are taken into account by firms when recommending an investment product to a client.
A-Team Insight Briefs
Recorded Webinar: Data lineage – how to ensure you can deliver the right information, to the right people, at the right time
Data lineage is critical to digital transformation, business decisions and regulatory compliance. It is also difficult to implement at scale, not only because large quantities of data across numerous systems must be inventoried and tracked, but also because the data is not static and needs context to make sense to the business. If you are...
A-Team Group’s RegTech Summit made a triumphant return to a full house in New York last Thursday, with an excellent turnout of over 230 practitioners, regulators, start-ups and solution providers all keen to explore how the financial services industry can best leverage technology to drive innovation, cut costs and support regulatory change. Colin Ware, Global...
The FRTB Breakfast Briefing will examine key focus areas and priorities for banks in 2020 and offer guidance, advice and expertise for tackling the challenges and pain points around implementing the FRTB regulation.
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...