Editor’s pick

FCA on Coronavirus: Take No Prisoners?

Regulators around the world have taken a largely supportive approach to COVID-19, albeit with varying approaches. While some are in total lockdown, others are taking a more measured approach – but according to the word on the street, firms have been surprised by the ‘take-no-prisoners’ stance adopted by the UK’s Financial Conduct Authority (FCA). With...


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Not So Harmonious After All: Accommodating AnaCredit’s Maturing Requirements

By Frederic Bernard, Manager EMEA Capital & Credit, AxiomSL. In response to the credit crisis, the European Central Bank (ECB) launched the Analytical Credit Dataset (AnaCredit) project in 2011 to create a harmonized database and framework of rules regarding the credit exposure of credit institutions and other loan-providing financial firms. Yet since the inception of...

ESMA Relaxes SFTR Reporting – But Will National Regulators Respond?

Following calls from the industry and in response to the COVID-19 crisis, the EU regulator has effectively agreed to delay SFTR implementation until 13 July, 2020 – a three month reprieve from the original 11 April start date, but earlier than the October push-back trade associations had originally requested. However, with no formal powers to...

FCA on Coronavirus: Take No Prisoners?

Regulators around the world have taken a largely supportive approach to COVID-19, albeit with varying approaches. While some are in total lockdown, others are taking a more measured approach – but according to the word on the street, firms have been surprised by the ‘take-no-prisoners’ stance adopted by the UK’s Financial Conduct Authority (FCA). With...

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Entity Data Management Handbook – Sixth Edition

High-profile and punitive penalties handed out to large financial institutions for non-compliance with Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations have catapulted entity data management up the business agenda. So, too, have industry and government reports on the staggering sums of money laundered on a global basis. Less apparent, but equally important, are…

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Financial Markets Operations Response to COVID-19: Best Practices for Working from Home

The COVID-19 pandemic is disrupting all walks of life, and carries with it implications for society beyond even the obvious and immediate health impact. Business is being hit across the board, with many corporations sending staff home in an effort to keep them both safe and working. It’s clear that firms can’t rely on a...

Addressing the Reference Data Challenges of SFTR

The EU’s Securities Financing Transactions Regulation (SFTR), which comes into effect in April 2020, is a data-heavy transaction reporting regulation along the lines of MiFIR and EMIR, but has a significant reference data element as well. The regulation is extensive, with some 150 data fields in its mandatory regulatory reports, a dozen of which will...

Trade Surveillance and Mobile Recording in the Era of Data Privacy

The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections. At the same time, the public’s attitude toward data privacy has hardened, most visibly through new regulations...

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Breakfast Briefing: FRTB London

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.

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Top Knowledge Hub picks

MiFID II

Markets in Financial Instruments Directive II (MiFID II) builds on the original MiFID of 2007 to improve the competitiveness of European markets by creating a single market for investment services and activities, and ensuring protection for investors in financial instruments. Read everything you need to know and get access to all related content.

Regulatory Reporting

Regulatory reporting comprises the submission of raw or formatted data as required by regulators to evaluate and track the financial and operational status of financial institutions and their compliance with required regulatory provisions. Find out all about it in our Knowledge Hub.

Market Abuse Regulation (MAR)

The Market Abuse Regulation (MAR) provides an EU-wide regulatory framework on market abuse, including measures to enhance the attractiveness of securities markets for capital-raising through the prohibition of practices such as insider dealing, unlawful disclosure of inside information and market manipulation. Find out more and access all our key resources here.

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  • Entity Data Management Handbook – Sixth Edition

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  • Regulatory Data Handbook 2019/2020 – Seventh Edition

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