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!
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
Since 2014, the FCA has been at the vanguard of regulatory activities to foster innovation and reduce the barriers to entry for new products, business models and firms in the financial services industry. 2014 saw the beginning of Project Innovate, and along with the Monetary Authority of Singapore, the FCA was the first regulator to … Continue reading August’s Regulatory News
As an economist at the Bank of England, Oliver Burrows wants to make policy decisions about financial stability based on data and data sets that reflect today's financial environment. However, given the nature of the current regulatory reporting framework, it can take as long as three years to get hold of the right data, by … Continue reading FCA Digital Regulatory Reporting pilot
We are often asked what is RegTech, what problem does it solve and how do I become more involved. We decided to make some of our client material available free for our community. We hope you enjoy.
On 10th May, Dr Sian Lewin chaired a panel at the first RegTech for London event curated by Matt Elton of Finnolux. The event was themed around AML and KYC and asked the important question of 'Do you really know your customer?'. With the fifth EU Anti-Money Laundering Directive coming into force the day before, … Continue reading The Reg Doctor @ RegTech for London