RegTech Insight Risk, Governance & Controls The latest content from across the platform
Recorded Webinar: Are you ready for General Data Protection Regulation (GDPR)?
The data management challenges of General Data Protection Regulation (GDPR) are significant and must be tackled soon to ensure compliance in just over a year on 25 May 2018. The regulation makes many extensions to existing European data privacy rules, adds new obligations and pitches fines for non-compliance at up to 4% of turnover. Listen…
FRTB’s First Steps and Stages
The Fundamental Review of the Trading Book (FRTB) regulation being instituted by the Basel Committee on Banking Supervision (BCBS) in January 2019 is the de facto successor to the global banking supervision organisation’s Basel III guidelines on market risk and capital adequacy. Financial services firms are beginning to consider the demands FRTB makes on their…
Recorded Webinar: Get to grips with FRTB data and data management requirements
The Fundamental Review of the Trading Book (FRTB) sets out a revised market risk framework and proposals to improve capital requirements. Although the regulation’s compliance deadline is 18 months away and some details have yet to be finalised, financial institutions need to be preparing now as FRTB is complex, presents significant data management challenges and…
Recorded Webinar: Learning from MiFID II for CAT reporting and data management
Compliance with the SEC’s Consolidated Audit Trail (CAT) regulation is just over 18 months away, meaning broker dealers within the scope of the regulation need to get started on their response. Like Markets in Financial Instruments Directive II (MiFID II), CAT reporting presents significant – and similar – data management challenges, particularly around customer, account…
Data Processing Strides Pave The Way To More TCA Capability
Squarepoint Capital’s expansion of its use of Kx Systems technology for investment research capitalises on the provider’s strength at normalising data, tying together data sources and increasing the speed of its data processing — in a manner that sets the stage for more effective transaction cost analysis (TCA). Squarepoint uses Kx Systems’ Kdb+ time-series database…
Santander Picks Opus Platform To Ensure Compliance
Santander UK has deployed the Hiperos 3PM third-party risk management platform from Opus, a London-based compliance solutions provider, to ensure the bank’s compliance with UK Financial Conduct Authority (FCA) guidelines, according to Ben Gould, managing director of EMEA & APAC at Opus. “Santander executives were interested in becoming fully compliant with FCA guidelines for managing…
The Regulatory Stick and Beneficial Carrot of Data Governance
If the stick behind data governance is regulatory compliance, the carrot is business and operational benefit stretching to revenue creation, reduced expenditure, better customer satisfaction and improved data to solve business problems. The challenges and opportunities of data governance were discussed during this week’s A-Team Group webinar, A Step-by-Step Guide to Implementing a Data Governance…
‘Multi-Genre Analytics’ Emerges For Pre-Trade Assessments
Data analytics provider Teradata has developed a new type of algorithmic analytics applicable to securities trading information, called “multi-genre analytics.” Teradata developed the service in response to firms seeing predictive models as a cost they get stuck with when those models are needed for certain kinds of trades, says Sri Raghavan, global product marketing manager….
Recorded Webinar: Step-by-step guide to implementing a data governance framework
Implementing a data governance framework is essential for many financial institutions, but the task is difficult and often complex. The webinar will take a step-by-step approach to implementation considering everything from identifying priority data that must be governed to automating data governance processes, allocating data ownership and responsibility, and sustaining data governance in a dynamic…
Recorded Webinar: Voice recording for communications surveillance under MIFID II/MAR
To date, the industry’s regulatory compliance focus for upcoming European MiFID II and Market Abuse Regulation (MAR) has been on issues including the structure of trading facilities, systematic internalisation, governance, best execution and time-stamping. MiFID II and MAR also contain provisions, however, increasing the requirements for recording and archiving voice communication related to securities trading….