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A busy month for financial services regulation
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25 Jan
2016

A busy month for financial services regulation

In the past month, we’ve celebrated the holiday season and brought in the new year, but there has been no rest for the wicked and regulators have been busy scrambling to meet deadlines and push out new regulatory documents.  In the period before Christmas, we witnessed a lot of developments and it’s safe to say Read More

07 Jan
2016
Chief Compliance Officer, CCO, nysdfs aml regulation, senior managers regime, SMR, smr implementation, senior managers regime implementation

Another step towards increasing individual accountability

There will no doubt be many concerned faces amongst senior management this year as the new rules for the Senior Managers and Certification Regime (SMR) come into force over the next 12 months.  The first implementation date will be in February 2016 when firms will have to submit documents for grandfathering, then commencement of the Read More

16 Oct
2015

JWG redefine MiFID II implementation training

  • 16th October 2015
  • Daniel Simpson

PRESS RELEASE:  Think-tank deploys RegDelta to help train MiFID II workforce JWG, the financial services regulation think-tank, are offering a ground-breaking new face-to-face training course on 3 November 2015 in London.  Ground-breaking, because it is supported by the complete library of MiFID II documentation now loaded in RegDelta. The clock is ticking for the thousands Read More

07 Oct
2015

MiFID II implementation training – all systems go for 3 November

  • 7th October 2015
  • RegTechFS

With the MiFID II technical standards finally being published, the time is right to give our successful MiFID II implementation training its latest run on 3 November in London. We suspect that, soon, regulators will be asking tough questions about how you plan to be ready for system integration testing in a mere nine months Read More

28 Sep
2015

MiFID II technical standards published

Today, ESMA has published the long-awaited MiFID II Technical Standards, leaving implementation teams across the industry with hundreds of pages to get to grips with.  The publication confirms that MiFID II will represent the biggest change to the regulatory framework in living memory.  It represents an extremely complex puzzle, but at least now we have Read More

04 Sep
2015

10 key takeaways from the latest FCA MiFID II roundtable

  • 4th September 2015
  • Aisha Dudhia

JWG analysis. The minutes of the latest MiFID II implementation roundtable, on 17 July, were published in August.  At the meeting, the FCA spoke with a number of industry trade bodies, including the Association for Financial Markets in Europe (AFME), the International Swaps and Derivatives Association (ISDA) and the International Capital Markets Association (ICMA), to Read More

25 Aug
2015

Connecting the dots: MAD/R interdependencies

  • 25th August 2015
  • Aisha Dudhia

JWG analysis. At the 8th Customer Data Management Group (CDMG) meeting of 2015, on 18 August, over 20 members from 10 firms came together to discuss the new Market Abuse Regulation (MAR) and the potential challenges it holds. With less than 11 months until particular sections of MAR will apply to the financial services industry, Read More

10 Aug
2015

Piecing RFQs into the MiFID II puzzle

  • 10th August 2015
  • Aisha Dudhia

JWG analysis. With many of the regulations that have come into force since the 2008 financial crash, the rules may appear simple enough, but the devil is very much in the detail.  MiFID II is no exception. With MiFID II looking to enhance transparency within the industry, firms that currently provide RFQ services must consider Read More

16 Jul
2015

The devil is in the definitions

  • 16th July 2015
  • Daniel Simpson

JWG analysis. In an article earlier this week, we highlighted some of the key challenges for firms engaged in HFT activities under MiFID II.  In this piece, we will focus in more detail on one particular area of change under MiFID II, namely algorithmic trading and the implications of regulators rewriting the dictionary for it.  Read More