Following our discussion of several global accountability regimes and forthcoming culture audits we are turning our attention back to AI. This is a very noisy space with Germany, UK, Japan and the US all mandating new controls in advance of MiFID III update which could raise the algo trading bar even higher.   In this


Last week marked a key turning point for the derivatives industry as it moves towards aggressive implementation deadlines for regulatory reporting on either side of the Atlantic.   After a decade of international regulatory reporting the sector is marshalling resources to meet new CPMI/IOSCO implementation mandates for newly standardized common data elements.   A poll


Sponsored by Accountability is a theme that has been on the industry’s to do list since the Great Financial Crisis. Five years since new senior management regimes started rolling out, global regulators are already raising the bar to include front-office culture audits which apply behavioural science to new culture and conduct measurement. New JWG research


JWG summarized regulatory 2021 reporting efforts and explained how there are both prudential/statistical ‘top down’ or more aggregated reporting (e.g., Risk, ESG) with the ‘bottom up’ more transactional data collection (e.g., EMIR, MiFID, CSDR). The RRDS agenda will seek to share lessons learnt across both types of regulatory reporting innovations this year


Presentation from SIG meeting on 18 May to review updates to the trade surveillance regulatory agenda, review global accountability regimes and agree priorities for RegTech and SupTech tooling.


UK banks’ annual reports show an emerging understanding of operational resilience that emphasises business continuity planning and conflates pandemic performance with high operational resilience. Banks have asked regulators for more guidance on what they want operational resilience work to look like. That safe harbour will not be forthcoming, and firms need to work on evolving


The UK’s Financial Conduct Authority (FCA) Markets in Financial Instruments Directive II “quick fix” consultation signposts issues for further consultation as the onshored regime evolves post-Brexit. At the same time, the paper alerts industry to further consultations — at least two more from the FCA this year — including one contemplating the consequences of Libor


Newsflash: RegCast 7 – Democratized MiFID III?

In Partnership with:

We are pleased to release our 7th RegCast today. Cries for faster, better, and cheaper access to financial services by millions of investors have shaken the markets this year. With advice out of reach for most individuals racing into the markets, they are placing risky bets which are poorly understood. In this episode, Jackson Mueller, Seccurrency,  Sam


HM Treasury and the Financial Conduct Authority (FCA) have used FinTech Week to set out their regulatory support plans to make Britain more attractive to the financial technology sector. Rishi Sunak, Chancellor of the Exchequer, and Nikhil Rathi, the FCA’s chief executive, confirmed plans to take forward many recommendations made by the Kalifa review of