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Podcast: moving the regulatory mountain with RegTech
Articles
16 Nov
2018

Podcast: moving the regulatory mountain with RegTech

  • 16th November 2018
  • Eman Galea

Two years ago, few people had even heard the term RegTech. Today the sector is booming, with rising venture capital investment and a growing group of regulatory agencies that are directly driving change. It has become clear that we’re in the process of digitizing finance, and that therefore, we can — and must — digitize..

08 Nov
2018

eComms Surveillance: Benchmarking your approach

Electronic Communications (eComms) Surveillance is an increasingly crucial element of trade surveillance for financial services firms. In the context of regulatory requirements from Dodd-Frank, MiFID II and MAR, firms are reliant upon being able to capture, analyse and index data from a wide range of electronic sources. Last quarter JWG was pleased to be commissioned..

01 Nov
2018

Monitoring your clients’ data quality: a 2019 RegTech opportunity

  • 1st November 2018
  • Eman Galea

The regulatory drive towards Ultimate Beneficial Owner (UBO) transparency continues through the 5th Anti Money Laundering Directive (AMLD V), further complicating an already complex landscape. From 10 January 2020, the Member States and firms will now be responsible for ensuring that discrepancies in beneficial ownership data in central registrars, like Companies House are reconciled. The consequences of..

29 Oct
2018

SFTR milestones: time to define what and how

Getting data right is never easy and, with SFTR’s drive for transparency kicking into high gear, the risks of getting reporting wrong are greater than ever. The question is whether firms can digest and follow-through on the lessons learned from past trade and transaction reporting requirements like MiFID II and EMIR, and collaborate ever more..

08 Oct
2018

The known customer data unknowns of AMLD V

With 322 working days left till the go-live date of the Fifth Anti-Money Laundering there is still a lot of work to be done and data challenges to be resolved. It has been a longstanding goal of the global groups such as the G7, World Bank, the International Monetary Fund and the Financial Action Task..

27 Sep
2018

An industry framework for SFTR implementation

With only 394 working days left till the estimated go-live date of the Securities Financing Transactions Regulation (SFTR) there is still so much work to be done and challenges to be resolved. Whilst there seems to be no shortage of collaborative efforts looking to tackle ambiguous data fields and inconsistent life-cycle events across counterparties, very..

27 Sep
2018

Using AI in surveillance

On 30 October 2018 JWG will be running a session of our Trade Surveillance Special Interest Group (TSS), the session will focus on the use of Artificial Intelligence for Trade Surveillance purposes. The discussion will cover how AI is being deployed within trade surveillance systems as well as holistic surveillance more broadly including aspects such..

16 Aug
2018

Trade Surveillance and eComms: Benchmarking your approach

  • 16th August 2018
  • Tom Bicknell

JWG are pleased to announce the launch of our latest survey: ‘Trade Surveillance and eComms: Benchmarking your approach’. The aim of the survey is to establish an understanding of the existing compliance efforts being implemented across the industry, how eComms Surveillance can be enhanced, and the application of new technologies to the process. Since the..

03 Aug
2018

Trade Surveillance: How quality assurance is shifting the landscape

Both MAR and MiFID II ushered in many new requirements that have forced firms to completely re-assess their approach to trade surveillance. One significant consequence is that firms are having to spend more time and resources on quality assurance controls that ensure trade surveillance systems are both appropriate and effective. MAR, for example, includes a..