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SM&CR: The Countdown Begins

This weekend marks just one month to go until SM&CR goes live for all solo-regulated firms, replacing the FCA’s previous Approved Persons Regime (APR) and bringing with it a host of new data management requirements and challenges. A survey published by ACA Compliance in August this year warned that less 2% of firms had completed…

EU Benchmarks Regulation: An Opportunity in Disguise?

The switch from Libor to new benchmarks under the EU’s Benchmarks Regulation has been heralded as one of the most significant changes to the financial markets in recent years. With wide-ranging implications for multiple functions across financial institutions, the reform poses substantial compliance challenges – but could also create new opportunities, specifically around the necessary…

Trade and Transaction Reporting Challenges – EU Demands for US Firms

At the upcoming RegTech Summit New York, William Gates of SmartStream RDU will be enlightening us as to the current challenges around MiFID II and MiFIR for US-based firms; as well as giving a rundown of where we are (as far as anyone can really know!) with Brexit, and what the implications could be for…

Managing Regulatory Change and Driving Efficiencies – A Debate

As the volume of regulation continues to increase, with regulators not always managing to achieve consistency across frameworks and jurisdictions, how can financial institutions keep up with the ever-changing requirements – and match compliance needs that can sometimes feel conflicting? In one of the most popular panels of the day at the recent RegTech Summit…

Get Ready for RegTech New York

Following the success of the third annual RegTech Summit London, held at etc.venues St Paul’s last week to a crowded room and an excellent turnout, the focus now turns to the other side of the Atlantic – with A-Team Group’s RegTech Summit New York set to be its biggest and best yet. With an agenda…

FSB publishes UPI governance arrangements

The Financial Stability Board (FSB) has published a report on governance arrangements for the Unique Product Identifier (UPI). The UPI will uniquely identify the product involved in OTC derivatives transactions reported to trade repositories. This will help authorities aggregate data on OTC derivatives transactions by product, allowing the effective use of OTC derivatives trade reporting…

Regulatory Data Handbook 2019/2020 – Seventh Edition

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…

RegTech Summit London Fast Approaching – Have You Booked Your Place?

The third annual edition of A-Team Group’s highly sought-after RegTech Summit is nearly here! On October 3, 2019 industry leaders, regulators, practitioners and providers will converge on the etc.venues at St Paul’s London to discuss the most innovative and effective approaches for building a better regulatory environment. This year is our strongest line-up yet, with…

Compliance.ai Launches Premium Content

Compliance.ai has launched Premium Content, a new offering to help compliance professionals keep up with banking and financial regulations. The service provides users with access to contextualized regulatory subscription content including legal interpretations of regulations, publications from law firms, compliance manuals, guidance from content publishers and industry experts, online compliance training as well as subscription…

SmartStream RDU Releases SFTR Security Reference Data Service

The SmartStream Reference Data Utility (RDU) has extended its offering with a cloud-based security reference data service designed to simplify and enable firms to meet the EU’s Securities Financing Transactions Regulation (SFTR) requirements. SFTR requires banks and investment firms to start reporting securities financing transactions (SFTs) to a registered trade repository beginning April 14, 2020….