RegTech Insight Regulations The latest content from across the platform
ACA Group Shares Expertise on Market Surveillance
Eddie Cogan, Partner, Head of eComms Surveillance at ACA Group discusses the evolution of market surveillance, business and operational challenges of market abuse and how to overcome them, the latest technologies available and advice for practitioners working on market surveillance.
Clausematch Reaches 90,000-User Milestone at Early Adopter Barclays
Barclays has completed the rollout of Clausematch’s Policy Portal across the bank, reaching almost 90,000 employees globally, having adopted Clausematch as part of its inaugural Barclays Accelerator programme in 2014. The use-case may be seen as a benchmark for RegTech adoption, as many early-stage innovators struggle to gain a foothold at large enterprises like Barclays….
Buy or Build? For Trade Surveillance, It’s Now Time to Decide
By Joseph Schifano, Global Head of Regulatory Affairs, Eventus Systems. Buy or build? It’s a question that has long vexed capital markets firms, especially given the rapid evolution of electronic trading and the technological complexity that has come with it. Individual circumstances will vary, but between the numerous vendors and the high level of in-house…
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…
AutoRek Urges Industry to Prepare for Jan 1 IFPR Start
Automated reconciliations provider AutoRek has warned firms to start preparing their systems for the complex calculations and processes they will need to undertake to be compliant with the UK’s incoming Investment Firms Prudential Regime (IFPR), which go live on January 1 – now less than 100 days away. IFPR is being introduced by the Financial…
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…
Recorded Webinar: The evolution of market surveillance across sell-side and buy-side firms
Market surveillance is crucial, and in many cases a regulatory requirement, to ensuring orderly securities markets and sustaining confidence in trading. It can be breached and has become increasingly complex in the wake of the Covid pandemic, Brexit, and the emergence of new asset classes. This webinar will review the extent of market abuse in…