The US Securities and Exchange Commission (SEC) is seeking to extend an exemption put in place October 2017 (and set to expire in July 2020) that allows US banks to sell research directly to European fund managers under MiFID II without registering as investment advisors. According to the Financial Times, the regulator made the statement to a group of investment banks and fund managers at a meeting last week.
The EU’s Digital Operational Resilience Act (DORA) came into force a year ago, and is reshaping how asset managers, asset owners and fund service providers think about operational risk. While DORA’s focus is squarely on ICT resilience and third-party dependencies, its implications extend deep into core operational processes that are critical to market integrity, investor...
George Tziahanas, VP of Compliance at Archive360. Regulated enterprises are discovering that the hardest part of scaling new technology such as AI isn’t adoption; it’s proving those technologies are properly controlled. For financial institutions in particular – including banks, asset managers, insurers, and capital markets firms – this challenge is intensified by long-standing regulatory expectations...
Buy AND Build: The Future of Capital Markets Technology London examines the latest changes and innovations in trading technology and explores how technology is being deployed to create an edge in sell side and buy side capital markets financial institutions.
AI adoption in capital markets has moved into a more disciplined phase. The priority is now controlled deployment: where AI can be used safely, where it can deliver measurable value, and how outputs can be governed, monitored and evidenced. The 2026 edition of the AI in Capital Markets Handbook examines how AI is being applied...
