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ESMA Proposes Amendments to MiFIR Transparency Requirements

The European Securities and Markets Authority (ESMA) has proposed targeted amendments to some of its Regulatory Technical Standards, essentially RTS 1 and RTS 2, which specify Markets in Financial Instruments Regulation (MiFIR) transparency requirements for equity and non-equity. The amendments aim to clarify, improve and simplify the transparency regime for equity and non-equity instruments. The…

Operational Resilience Ranks High on Regulators’ List of Concerns

Increased regulatory scrutiny of operational resilience in capital markets is forcing firms to take a more proactive approach to maintaining critical business functions. Continuity planning inevitably comes into focus during major events such as a global pandemic. But regulators’ concerns around the prevalence of other incidents – from ransomware attacks to natural disasters – have…

Euroclear to Use Taskize for CSDR Penalty Appeals

Euroclear is expanding its use of Taskize’s collaboration tools as the preferred channel for its 2,000+ members to appeal penalties at both the International Central Securities Depository (ICSD) and its domestic CSDs, under the upcoming CSDR Settlement Discipline Regime. Using a Taskize Bubble that has been specifically built around a penalty appeal template, Euroclear members…

EU Asserts ‘Strategic Autonomy’ in Post-Brexit Regulatory Landscape

With Brexit now ‘done’, the EU is taking stock of its regulatory environment as it settles down to life without the UK and its all-important financial capital London. The EU will spend 2022 setting out its regulatory stall as the UK seeks to differentiate itself from its former stablemates. What’s emerging is a multi-pronged regulatory…

GDPR Reform: How Will a New Data Protection Regime Impact UK Financial Firms?

The data protection regulatory regime in the UK could soon look very different, if proposed changes to the current UK General Data Protection Regulation (UK GDPR) come to fruition as part of a recently published UK government plan to move its data protection laws in a new direction following the country’s split from the EU….

Singapore RegTech Plan Signals Asian Maturity in ESG Approach

Singapore’s recent decision use RegTech to tackle greenwashing illustrates the strides leading Asian economies are making to toughen regulation of sustainable finance. The announcement at the city state’s annual fintech conference coincides with the release of a white paper by the Fintech Association of Hong Kong (FAHK). The document lays a vision of an ESG…

Regulatory Data Handbook 2021/2022 – Ninth Edition

Welcome to the ninth edition of A-Team Group’s Regulatory Data Handbook, a publication dedicated to helping you gain a full understanding of regulations related to your organisation from the details of requirements to best practice implementation. This edition of the handbook includes a focus on regulations being rolled out to bring order and standardisation to…

Asia-Pacific Practitioners Gear Up for A-Team’s RegTech APAC Conference This Week

This week sees the first ever A-Team RegTech Summit for the Asia-Pacific region. Building on the success of A-Team’s RegTech Summit conferences in London and New York over the past four years, this virtual event is the first of what’s expected to be a series of events in the region, including in-person conferences when appropriate. RegTech…

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…