Financial Services Regulation

Group founded 01 Jul 2010
Posts 553
Members 60
Group summary

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

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Retired Member

Using automation to decrease risk in outsourcing for financial service organisations

Earlier this year, the European Banking Authority (EBA) issued its Guidelines on Outsourcing Arrangements, which highlighted areas of risk to banks and other financial organisations, relating to outs...

05 Nov 2019
Retired Member

Best Execution in the US: Three Things Broker-Dealers Need to Think About

As we head into 2020, US broker-dealers are preparing for new mandates on how they report transactions back to customers. The requirements – established by the Securities and Exchange Commission’s (SE...

17 Oct 2019
Saeed Patel

Crypto Regulation - Asia Leading the Way

The exponential growth of institutional and retail investor interest in the crypto markets has led to the inevitable need to reposition existing financial regulatory frameworks to incorporate supervis...

15 Oct 2019
Mark Demo

REGULATORY IM VALIDATION IN EUROPE AND THE U.S. - WHAT PHASE 5 AND 6 FIRMS NEED TO KNOW

Approximately 250 firms, including many more buy-side firms, could fall into scope for Phase 5 of the Uncleared Margin Rules (UMR), according to AcadiaSoft’s estimates. At the same time, firms will ne...

08 Oct 2019
Konstantin Rabin

Fintech challenges in the Post Soviet space

There are many challenging areas for the traditional Fintech industry to get into, with one of the most challenging areas in the world being the Post Soviet space. This includes Russia and any country...

02 Sep 2019
Mark Demo

U.S. AANA Calculation Concludes - What Does This Mean?

Friday, August 30 marks the end of the U.S. AANA (Average Aggregate Notional Amount) calculation period for uncleared over-the-counter (OTC) derivatives. By next week, all U.S.-based firms should know...

28 Aug 2019
Matt Smith

Are we doing enough to democratise data?

In today’s highly digitalised world, data is at the core of everything we do. The increased use of technology means that firms now produce and process more data than ever before. This is particularly ...

01 Aug 2019
Dmitrii Barbasura

Working with Technical Service Providers under PSD2

According to PSD2, regulated TPPs are allowed to access banks’ PSD2 interfaces. TPPs can choose whether to integrate with banks on their own or to rely on an aggregator - Technical Service Provider (T...

30 Jul 2019
Mark Demo

BCBS and IOSCO Add Sixth Phase to Global Regulatory Initial Margin Rollout

Today, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) recommended that prudential regulators add a sixth phase to the global reg...

23 Jul 2019
Richard Warren

Why the payments industry needs to act quickly on the EBA’s latest PSD2 SCA Opinion

On Friday 21st June the EBA published a new Opinion Paper on the elements of strong customer authentication (SCA) under PSD2 which has been subsequently been backed up a by confirmatory statement fr...

28 Jun 2019
Keith Stonell

Technology Can Help Insurers Respond to FCA on Charges of Poor Customer Service

Back in April, the CEOs of UK insurers, brokers, and other providers, received a letter from the Financial Conduct Authority (FCA) telling them to sort out poor customer service or else. This is all p...

25 Jun 2019
Mark Demo

Monitoring OTC trades to ensure IM compliance

In late March, the Basel Committee on Banking Supervision (BCBS) and the International Organisation of Securities Commissions (IOSCO) issued guidance to national regulators stating that Phase 4 and 5 ...

10 Jun 2019

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