We asked our new Associate, financial crime expert Vesna McCreery to tell us her key predictions for fighting financial crime in 2019. Financial Crime in banking is usually synonymous with regulatory measures to combat money-laundering, corruption and ensuring compliance with financial sanctions. However, we should also consider cybercrime under this umbrella, even though it has … Continue reading Vesna’s Financial Crime predictions for 2019
Earlier this month we were asked to comment on the Danske Bank money-laundering scandal and the accusations that had been levelled at the Danish Financial Supervisory Authority of regulatory capture. This scandal is a salutary tale of whistle-blowers being ignored, of (perhaps) blind eyes being turned and potentially, regulatory forbearance in a situation where really … Continue reading …what it is and what it is not.
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!
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
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.
In the latest of our Digital Regulation Series in Collaboration with the FCA, we visited Zurich. Is Switzerland a principles based regulatory regime ? What are FINMA doing to prepare for Digital and how can RegTech help?
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!
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
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
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