RegTech Insight Regulations The latest content from across the platform
Recorded Webinar: Meeting the high stakes challenge of effective sanctions data monitoring
Identifying securities related to a sanctioned domicile or company is a straightforward concept, but in practice, it is a far more challenging task for compliance professionals. Receiving a list of sanctions isn’t enough. In order to accurately define and maintain your ‘do not trade’ list, you need to identify all the securities related to each…
The CAT Controversy
By Kelvin To, founder and president of Data Boiler Technologies AutoCAD has been the de facto computer-aided design (CAD) program for engineers for so long that it’s like an acronym for anything that is professionally engineered, designed and created. In capital markets, the Securities and Exchange Commission (SEC) has adopted rule 613 to establish the…
PRIIPs Compliance Deadline Postponed to January 2018
The European Commission has postponed the application date of Packaged Retail and Insurance based Investment Products (PRIIPs) regulation by a year, moving the date to 1 January 2018 and aligning compliance with that of Markets in Financial Instruments II (MiFID II). The Commission’s decision to postpone PRIIPs and the creation of associated Key Information Documents…
LumRisk Scales with Markit EDM Managed Service
LumRisk, a Geneva based risk aggregating service provider, has gone live with the managed service version of Markit EDM. The enterprise data management solution improves LumRisk’s hedge fund and alternative risk premia (ARP) platform, allowing data analysis and risk monitoring services to be scaled up. LumRisk considered several enterprise data management solutions before selecting Markit…
Best Practice Approaches to the Data Management Challenges of MiFID II
The data management challenges of Markets in Financial Instruments Directive II (MiFID II) are dominated by sourcing required data and managing multiple identifiers, but despite these difficulties, financial institutions expect to gain significant operational and business benefits from compliance. Meeting the data management challenges of MiFID II was the subject of an A-Team Group webinar…
Recorded Webinar: Meeting the data management challenges of MiFID II
The compliance deadline for Markets in Financial Instruments Directive II (MiFID II) has been pushed back a year to January 2018, giving financial institutions within its scope an opportunity to take a strategic rather than tactical approach to implementation. But whatever the approach, the scale of the regulation is large and the data management challenge…
GoldenSource Discusses the Pitfalls and Potential of Entity Data Management
Entity data is a fundamental building block of many systems, but all too often large financial institutions fail to manage the data strategically and incur negative customer reactions, increased costs and regulatory reporting errors. The solution to these problems is an enterprise-wide approach to entity data secured by strong data governance. The problems and potential…
ANNA Derivatives Service Bureau Leaves Many Questions Unanswered
The story of MiFID II and the selection of the ISIN as an identifier for all instruments in scope of the regulation, including OTC derivatives, has taken another turn, perhaps a final turn, with the Association of National Numbering Agencies (ANNA) pressing on with the build of a Derivatives Service Bureau (DSB) by issuing an…
Recorded Webinar: Countdown to MiFID II
MiFID II is dominating trading technologists’ thoughts in 2016. What has been achieved so far and what is still to be done? What elements of the regulation are proving most difficult – perhaps algo testing, classification or surveillance? – and how are regulators responding? Listen to the webinar to find out about: State of play on…
Governance And Privacy Are Getting Married
By Dennis Slattery, CEO of EDMworks Announcement! The governance community is getting married to the privacy community. But how do we make sure the marriage is long and happy? The challenges are many and the General Data Protection Regulation (GDPR) is one example of a flood of privacy/trust laws that will impact the couple. The…