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Limiting costs and charges disclosure under MiFID II and PRIIPs: issues and misinterpretation
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26 Sep
2017

Limiting costs and charges disclosure under MiFID II and PRIIPs: issues and misinterpretation

On 13 September 2017, JWG held their third Client Management Special Interest Group (CMS), with attendees from over a dozen buy-side, sell-side and technology firms meeting to discuss existing issues on cost and charges disclosure under MiFID II and PRIIPs obligations.  The meeting was a productive one, whereby participants expressed concerns on the following areas:..

30 Jun
2017

JWG announce 12 July MiFID Webinar

  • 30th June 2017
  • Daniel Simpson

In our previous article we announced some of the key findings from our recent buy-side focused MiFID survey. Now we are pleased to announce a webinar on 12 July to review and analyse the results in more depth with a panel of experts. The webinar will aim to present new survey findings to help inform..

25 May
2017

GDPR and data security by design

In exactly one year, the General Data Protection Regulation (GDPR) will apply across the European Union, yet firms are struggling to prepare for new data security obligations due to the sheer quantity of regulations due to be enforced in 2018. With the current date of MiFID II being 3 January 2018 and PSD2 due 10..

03 Mar
2017

The state of RegTech 2017: meeting expectations?

On 28 February 2017, I was pleased to chair our second RegTech Capital Markets Conference in London.  As many have been asking how it measured up to our expectations, here’s a recap and an overview of what we think comes next. With a very senior audience of over 260 attendees from top-tier banks, buy-side firms..

21 Feb
2017

Lurking in the shadows: shining regulatory light on cybercriminals

The common image of a cybercriminal is that of a slovenly, yet highly-skilled, individual sitting alone in a basement having not seen daylight in weeks.  The modern cybercriminal, however, is far removed from this. Cybercriminals are organised in large networks, often well-funded and highly talented which allows them to unleash devastating attacks.  According to online..

16 Feb
2017
conduct risk, regtech and conduct, regtech conference

Culture, conduct and how RegTech can help

Improving the culture and codes of conduct within financial services firms has been a longstanding issue of contention since the financial crisis.  Combatting negative behaviours and inefficient controls has proven difficult to regulate and tackle head on. In 2013, the FSB officially acknowledged business conduct as a new category of business risk and now, in..

27 Jan
2017

Navigating your firm through the maelstrom of the EU’s General Data Protection Regulation

Big data and financial regulation share two striking resemblances: both are overwhelming and largely impenetrable to the uninitiated.  Although combining the two is pursued with noble intentions by regulators, the result is a concoction of stress, confusion and frustration for most firms.  This combination, however, is of paramount importance for firms’ and clients’ concerns about..