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Upcoming Webinar: Regulatory change management – challenges, solutions and case studies

Date: 7 December 2021 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Regulatory change has become part of the fabric of capital markets. It has also become increasingly complex as more regulations are introduced, significant amendments are made frequently, and small changes are made on a rolling basis – the whole…

Upcoming Webinar: FINRA CAT CAIS: What to Expect – Giving Regulators Full Access to Your Customer & Account Data

Date: 3 November 2021 Time: 11:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Join n-Tier and a panel of industry experts to discuss implications of the SEC’s Consolidated Audit Trail (CAT) Customer & Account Information System (CAIS) Phase 2e. The initial phase of CAIS was the start of a new era for…

Sponsored Blog: The Libor Transition: Time for Urgent Action

By Jacob Rank-Broadley, Head of LIBOR Transition, B&I, Refinitiv. Refinitiv’s latest special report takes an in-depth look at the many remaining challenges that surround the imminent cessation of Libor, as well as the potential of data-driven solutions to enable a smooth transition. A landmark transition From the end of 2021, the FCA will no longer…

Recorded Webinar: Meeting the requirements of the EU’s ESG Disclosure Regulation

The EU Sustainable Finance Disclosure Regulation (SFDR) is central to the European drive towards a sustainable financial market. As such, it is complicated and multi-faceted, and makes rigorous demands on financial firms to source large volumes of ESG data and meet numerous reporting obligations. Key elements of disclosure include sustainability risk, principle adverse impacts, and…

US Regulatory Reporting: The Data Management Response

Given the rapid pace of change in the US regulatory reporting landscape in recent years, the banking sector is increasingly required to focus on its data management capabilities in order to meet these requirements effectively. At A-Team Group’s Data Management Summit USA virtual conference last month, Kenneth Lamar, Principal Partner at Lamar Associates, moderated a…

MAS Brings in Final Phase of OTC Derivatives Reporting Rules

The Monetary Authority of Singapore (MAS) has implemented the final stage of its reporting regulations for OTC derivatives under the Securities & Futures Act (SFA). This phase was delayed by a year due to the impact of Covid-19, with the final extension of new reporting obligations coming into force on October 1. The phased in…

Recorded Webinar: Adverse media screening – how to cut exposure to criminal activity, from money laundering to human trafficking

Screening for adverse media coverage of counterparties presents an incredible opportunity for financial institutions to limit risk exposures and identify bad actors early. It is required by regulations such as the EU’s sixth Anti-Money Laundering Directive (AML 6), and is one of the most effective ways to steer clear of potential connections with sanctioned activity…

ION Acquires Clarus to Offer Solutions for UMR, Broader Derivatives Analytics

Trading solutions vendor ION Markets has acquired derivatives analytics specialist Clarus Financial Technology, in part to help clients to comply with the new Uncleared Margin Rules (UMR) regulation for OTC derivatives. The acquisition – for an undisclosed sum – of the provider of SaaS-delivered analytics, data and research will also broaden ION’s capabilities in the…

Recorded Webinar: Managing culture and conduct: Is your organisation compliant with the Senior Managers and Certification Regime (SMCR)?

The FCA’s Senior Managers and Certification Regime (SMCR) came into play in the UK banking sector in early 2016, with the aim of reducing harm to consumers and strengthening market integrity by creating a system that enables firms and regulators to hold individuals to account – and it is not going away with the FCA…

Compliance-as-a-Service Provider Lawson Conner Adopts Acquirer IQ-EQ’s Brand Name

Lawson Conner, a UK-based regulatory hosting and outsourced compliance business, has rebranded as IQ-EQ, the name of investment funds service provider that acquired it in 2018. The rebrand of the compliance as-a-service provider comes at a time when the Financial Conduct Authority (FCA) has prioritised raising standards in the appointed representatives segment. IQ-EQ’s acquisition added…