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Breaking down barriers: the new holistic surveillance paradigm
Archive
09 Apr
2018

Breaking down barriers: the new holistic surveillance paradigm

  • 9th April 2018
  • Yogini Patel

At this year’s RegTech Capital Markets Conference a debate took place on the benefits of using RegTech for trade surveillance in the context of the evolving technical landscape, led by expert industry professionals on compliance and surveillance. Taking into consideration the volume and quality of data firms are expected to monitor, whether the current system..

26 Jun
2017

Paying for research under MiFID II

  • 26th June 2017
  • Darshna Pindoriya

The topic of research under MiFID II has been a popular discussion lately amongst top firms at JWG’s MIG meetings. MiFID II demands that firms be transparent to investors about how they plan to pay for research and the value which they place on it, which has led managers to think about how much they..

19 Jun
2017

Costs and charges: the crossover between MiFID II and PRIIPs

  • 19th June 2017
  • Darshna Pindoriya

Not long now – in less than 6 months’ time – both MiFID II and PRIIPs will become effective across EU Member States. ESMA recently published a Q&A on MiFID II and MiFIR investor protection topics in which 14 new questions were added. These include new Q&As on costs and charges in relation to the..

20 Apr
2017

Halfway there: the Capital Markets Union (CMU) plan

  • 20th April 2017
  • Darshna Pindoriya

The Capital Markets Union (CMU) is the European Commission’s (EC) plan to mobilise capital in Europe through growth, reduce the EU economy’s reliance on banks for loans and create jobs, including youth employment. Heavy reliance on the banking sector for funding needs remains, which is why one of the main actions in the CMU plan..

12 Apr
2017

JWG and ClauseMatch announce further RegTech collaboration

On 3 April 2017, ClauseMatch and JWG were pleased to announce the development of a unique solution to simplify and better structure how regulatory changes are driven through internal banking policies. The prototype, linking internal banking policies with constantly changing regulations, was created by senior developers from JWG and ClauseMatch during the autumnal session of..

10 Apr
2017

Beauty and the blockchain: regulators are watching the story closely

  • 10th April 2017
  • Letitia Bolton

Blockchain is not something new to the financial sector.  In fact, it’s been around for years.  It will be, however, a slow process to integrate it into systems already in place and, as with any disruptive technology, for regulators to assess and mitigate its risks by regulating appropriately. Although the technology isn’t novel, regulators now..

14 Mar
2017

RegTech experts: get out of your own way

As we’ve covered frequently on this site, incumbents are spending billions complying with the thousands of new, granular obligations demanded by FS regulators. So why, after eight years of regulatory reform, is the industry still struggling to fund companies that can revolutionise the way we establish policies and ensure compliance? In 2016 we told UK..

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..