Go to top
Another step towards increasing individual accountability
Archive
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

17 Feb
2015

Are your regulatory tribes sharing?

  • 17th February 2015
  • RegTechFS

JWG analysis. As we read the comments on our last article on the five tribes of regulatory reform, we were struck by the visceral reaction to the suggestion of sharing the agenda.  “Hands-off, that’s my mortgage you’re messing with”, commented one lawyer.  We wonder, can tribes achieve their overarching regulatory goals if they are NOT Read More

14 Oct
2014

Blockchain technology: part of your regulatory reform picture?

Darragh O’Grady and JWG. There has been much written lately on the potentially disruptive impact that digital currencies may have.  However, the blockchain architecture that underlies them has also been a recent subject of a CFTC meeting to discuss the potentially disruptive impact of this new technology.  We asked an architecture expert with a background Read More

16 Nov
2012

Regulating computer trading: the path to data standards?

The UK’s Foresight Commission report on HFT has finally heard the industry’s call for clear, shared data standards across the financial system. However, it remains to be seen whether Europe – or the world – has the stomach to realise this vision. After a series of dramatic computer trading glitches across the globe, most recently Read More