RegTech Insight Regulations The latest content from across the platform
Why Data Is at The Heart of Navigating Global Regulatory Divergence
Volker Lainer, VP, Product Management and Regulatory Affairs at GoldenSource. The role of data in financial markets is constantly evolving to fit with trading trends and constant advancements in technology. Back in 2022, we saw new requirements come into force under MiFID II for banks and investment firms to integrate sustainability into their suitability assessments…
Getting Control of Access to Key Market Services
Use of single dealer portals that allow banks to trade assets on behalf of their clients is growing rapidly, particularly among firms in the fixed income and foreign exchange markets in particular. But while trading portals offer great benefits in terms of broader market reach and enhanced client functionality, they bring risks too. Firms are…
Recorded Webinar: Market Abuse: Trends and Issues to Watch Out for in 2023
With the FCA taking a supervisory approach to regulating firms, many regulatory interventions won’t end up in the public domain. What are they looking for and how do you ensure you stay on the right side of their supervision? Join this webinar with A-Team Group and Leaman Crellin to discover what you need to focus…
Market Abuse Regulation and How Not to Fall Foul of the Rules
The messy collapse of once revered construction and professional services multinational Carillion in 2018 not only shook the City of London, but also offered powerful insight into authorities’ determination to stamp out market abuse. While the £845 million hole Carillion reported in its accounts was stunning, the Financial Conduct Authority’s (FCA) response was just as…
UK Firms Behind on their Plans for EMIR Refit, Novatus Survey Finds
UK firms are largely behind in their plans to comply with the EU’s EMIR Refit transaction reporting regulation, which comes into effect April 29, 2024. Moreover, they are finding the increased technological complexities introduced by the update particularly challenging. These are among the main findings of a survey conducted by Novatus Advisory on readiness for…
Delivering on ESG Through the Cloud
By Shaun Hurst, Principal Regulatory Advisor for EMEA, Smarsh. ESG, the acronym that refers to the alignment of environmental, social, and governance performance and objectives with company practices and investor strategies, has evolved from being a ‘nice to have’ for companies and financial institutions to a concrete expectation. But with rising regulation, litigation and growing scrutiny…
EU Regulatory Priorities for 2023, According to our Brussels Insider
Higher Interest Rates, A Volatile Crypto-Asset Environment and the Growth of Opaque Non-Bank Institutions Challenge Central Banks and Regulators in the EU. These were the opening remarks of Dr. David Doyle, an EU financial services regulatory expert, and frequent speaker at A-Team Group conferences, when we met up with him early in the New Year…
ESMA Recommends Digital Token Identifier for Pilot of Distributed Ledger Technology Regulation
ESMA has recommended use of the ISO standard Digital Token Identifier (DTI) for the pilot of its Distributed Ledger Technology (DLT) regulatory regimen. DTIs are issued by the DTI Foundation, a non-profit division of Etrading Software, with a view to bringing standardisation to digital asset and crypto markets. The DLT pilot will apply from 23…
RegTech is Only as Good as the Data it Uses, Summit Told
While technology has automated regulatory compliance for financial institutions, vendors and users must vigilantly stay on top of the data behind it to adjust to changes in the laws they seek to address. New or different datasets and formats must be accommodated, and new data sources found as regulators redraw rules to protect participants in…
Recorded Webinar: New solutions to the old problems of compliance with communications surveillance regulation
Communications surveillance is an integral element of trading at financial institutions, and its functions are clearly set out in jurisdictional regulations – to capture, record and retain all communications. Essentially, all business related communications must be recorded whatever the underlying mechanism – be it a work phone, personal mobile phone, text, video and so on…