RegTech Insight Regulations The latest content from across the platform
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…
CloudMargin Expands Custodian Network as More Firms Come into UMR Scope
Collateral management technology provider CloudMargin has expanded its network to include close to 60 custodians, following the start of Phase 5 of the Uncleared Margin Rules (UMR) this month and ahead of even more buy-side firms falling under the scope of Phase 6 next year. On September 1, asset managers with an Aggregated Average Notional…
ACA Group Adds e-Comms Surveillance with Catelas Acquisition
ACA Group’s acquisition of e-comms surveillance specialist Catelas is the latest step in its bid to create a comprehensive solution designed to meet all the needs of compliance professionals based on its Compliance Alpha platform. Catelas boosts ACA’s capabilities in the surveillance area, and brings with it a host of major clients allowing ACA to…
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…