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ESMA Good Practices Statement Hides a Warning on Pre-Close Calls
ESMA recently published a statement titled Good practices in relation to pre-close calls. The statement was prompted by media reports and verification by National Competent Authorities (NCAs) of a link between pre-close calls between issuers and analysts and subsequent volatility, in some cases raising suspicion about possible unlawful disclosure of inside information. It should be…
FRTB Compliance – New Rules and Data Challenges for Global Banks
The Fundamental Review of the Trading Book (FRTB) was developed by the Basel Committee on Banking Supervision (BCBS) as part of the Basel III framework to address several key shortcomings identified in the market risk regulatory framework that existed under Basel II.5. FRTB was finalized in January 2016 and initially scheduled for implementation by January…
ESMA Good Practices Statement Hides a Warning on Pre-Close Calls
ESMA recently published a statement titled Good practices in relation to pre-close calls. The statement was prompted by media reports and verification by National Competent Authorities (NCAs) of a link between pre-close calls between issuers and analysts and subsequent volatility, in some cases raising suspicion about possible unlawful disclosure of inside information. It should be…
Regulatory Reporting – Vendors to Watch – (EU/APAC)
Growth in the global capital markets is being driven largely by the increasing interconnectedness of global economies. This allows for more cross-border trading activity and the creation of new asset classes and investment strategies. New markets are being created, and access to existing markets is expanding. Regulatory reporting functions are facing intense pressure as they…
UK’s Debut SDR Rules Raise Data Management Concern
The UK’s newly implemented sustainability disclosure requirements (SDR) have placed additional data management burdens on financial institutions that operate in the UK. The country’s first such framework, created by the Financial Conduct Authority (FCA), is aimed at preventing greenwashing and fostering trust in British sustainability markets. It’s designed to protect the interests of investors by…
Cube Scales Globally with Two Strategic Acquisitions
With two significant acquisitions announced within days of each other beginning with – Cube acquires Reg-Room to further extend its regulatory intelligence and horizon scanning capabilities followed 8 days later by Cube acquires global regulatory intelligence businesses from Thomson Reuters – regulatory intelligence specialist Cube has been busy adding to its portfolio of capabilities. RegTech…
The CSRD – Governance, Workflow, Data and Technology Impacts for 2024
In the rapidly evolving world of corporate governance, environmental, social and governance (ESG) criteria have emerged as a cornerstone of responsible business practice. With stakeholders increasingly demanding transparency and accountability, the need for robust ESG reporting continues to grow. Enter the Corporate Sustainability Reporting Directive (CSRD), the ambitious regulatory framework aimed at standardising sustainability reporting…
Duco Wins Award for Best Transaction Reporting Solution in A-Team Group RegTech Insight Awards Europe 2024
Duco has won the award for Best Transaction Reporting Solution in A-Team Group’s RegTech Insight Awards Europe 2024. These annual awards recognise both established providers and innovative newcomers offering RegTech solutions that are successfully improving firms’ ability to respond effectively to evolving and ever more complex regulatory requirements across the global financial services industry. Duco’s…
A-Team Group Announces Winners of RegTech Insight Awards Europe 2024
A-Team Group has announced the winners of its RegTech Insight Awards Europe 2024. The awards recognise both established providers and innovative newcomers providing RegTech solutions to capital market participants that significantly improve their ability to respond effectively to evolving and ever more complex regulatory requirements. The awards were announced on 23 May 2024. This year’s…
Saifr Extends AI-Powered Marcomms Content Compliance Solution
Saifr has extended the functionality of its suite of marketing compliance capabilities to detect comparison, ranking, and rating claims; performance claims made about investment options; testimonials; and references to tax-free or tax-exempt income. Additionally, expanded AI models for marketing optimisation can determine grade-level readability. These features join Saifr’s existing compliance suite, which flags promissory, misleading,…