Digital Regulatory Reporting – it’s a 2018 wrap!

RegTech Associates took the Digital Regulatory Reporting discussion right to the forefront in London in Early December, with an afternoon industry roundtable followed by an evening event. As with our event in London on the 15th October, our speakers covered a range of topics, which emerged from the afternoon discussion and were developed further. From … Continue reading Digital Regulatory Reporting – it’s a 2018 wrap!

RegTech and Financial Conduct Risk – Q&A with Ed Buckman from Axiom HQ

On 5th December, The Reg Doctor caught up with Ed Buckman, VP of Sales at AxiomHQ at the RegTech Rising conference to discuss all things conduct risk, after having seen a short demo of the new AxiomHQ solution for SMCR. How do you define financial conduct risk? Broadly speaking, the actions or behaviour of financial … Continue reading RegTech and Financial Conduct Risk – Q&A with Ed Buckman from Axiom HQ

Digital Regulatory Reporting – It’s only rules, data and execution – are we finished yet?

In the latest (and final?) update on the pilot, hosted at the FCA office in Stratford, Nick Cook from the FCA explained the aim was to address the common pain points between the regulator and the industry of the current reporting system, - cost, inconsistency, duplication of data and data protection issues.The core team members of the project team then updated us on progress and lessons learnt.

Digital Regulatory Change – it’s magic!

On Monday 15th October at Barclays global HQ in London, we gathered together representatives from leading financial institutions and regulators to discuss the possibilities and promise of Digital Regulatory Change. This was the first in our series of international events held in collaboration with the FCA and focused on the topic of Digital Regulation. For … Continue reading Digital Regulatory Change – it’s magic!

Spotlight on the Securities Finance Transaction Regulation (SFTR) – Part Two

This is the second of our posts exploring SFTR with Robert Keane, Product Manager at Pirum. Below, we focus more on the impacts and challenges of this new reporting regime for market participants.  Do the SFTR transaction reporting obligations have different impacts for different types of market participants?  Yes, absolutely. So, for firms on the … Continue reading Spotlight on the Securities Finance Transaction Regulation (SFTR) – Part Two

The Reg Doctor speaks….about capital markets, technology and disruption

RegTech Associates will be attending the inaugural DerivSource conference on 14th November in London. The theme of the conference is Derivatives Today: Navigating the Path of Uncertainty and will explore the current market factors impacting industry infrastructure and derivatives operations on both the buy and the sell side, as well as the challenges that come with political … Continue reading The Reg Doctor speaks….about capital markets, technology and disruption

Meet a RegTech Associate at RegTech Rising

RegTech Associates is pleased to be a sponsor and supporter of RegTech Rising for the 2nd year. Our CEO, Jason Boud will be speaking at RegTech Rising on the topic of Why Financial Institutions Need A Master Data Strategy As A Starting Point For A RegTech Strategy and Sian Lewin will also be attending the conference. See … Continue reading Meet a RegTech Associate at RegTech Rising

Spotlight on the Securities Finance Transaction Regulation (SFTR) – Part One

Recently, Sian caught up with Robert Keane, Product Manager at Pirum to find out more about SFTR and some of its complexities for market participants. This first post introduces the main elements of the SFTR and we will follow up with another post discussing the impacts and implications for market participants. Can you explain what … Continue reading Spotlight on the Securities Finance Transaction Regulation (SFTR) – Part One