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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..

22 Feb
2018

A DLT-based approach for more efficient regulatory reporting

  • 22nd February 2018
  • Eman Galea

Following a successful seventh reporting and reference data special interest group (RRDS 7) at the Financial Conduct Authority (FCA) on 13 February 2018, participants met for the usual post-RRDS drinks and networking session. At one point during the evening, we found ourselves mediating a friendly debate between two senior compliance officers on the post-trade reporting..

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..

20 Jun
2017

The quest for a transparent global financial market

  • 20th June 2017
  • Jordan Dilworth

One of the many weaknesses that the financial crisis exposed was the feeble transparency framework in financial markets.  In response, MiFID II and MiFIR built on the regulatory agenda of the G20 by aiming to strengthen the transparency framework of markets in financial instruments, including OTC trading. Building on MiFID I, the second incarnation extends..

15 Mar
2017

RegTech: the seeds of revolution are sewn

  • 15th March 2017
  • Daniel Simpson

The financial services industry is nearing a regulatory crisis point; detailed rules are being written in huge volumes, by regulatory bodies struggling to keep up with their mandates. The result: requirements that are habitually not well contextualised or articulated and often look unlikely to achieve the desired outcomes, but at the same time coming with..

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..

23 Feb
2017

Discovering the options for MiFID II: DIY versus collaboration

  • 23rd February 2017
  • Aisha Dudhia

In fewer than 230 days – 7.5 working months from now, the biggest regulatory change since the 2008 financial crisis is set to come into force.  The legislation, Markets in Financial Instruments Directive/Regulation (MiFID II/R), is one of Europe’s most ambitious and far-reaching financial reforms and is estimated to cost the financial industry billions to..