Compliance
New frontiers
Innovative investment opportunities are helping to mitigate risk and satisfy Solvency II capital requirements as insurers face continued economic uncertainty. Frederic Morlaye, managing director, insurance and capital management solutions, Global Markets…
EU trading venues warn over looming end of LEI relief
Expelling issuers with no legal entity identifiers could hurt liquidity and investor strategies
Banks struggle with BCBS 239 implementation
Only three G-Sibs fully compliant with all risk data and reporting principles at end-2017
Asia Risk Interdealer Rankings 2018: The winners
Societe Generale and BGC top the tables
Stricter vendor regulation not ‘magic pill’, banks say
Third parties would still require oversight from banks, even if formally regulated
Volcker rule revisions may complicate compliance – experts
US regulators’ efforts to simplify key test of trading intent could ramp up data demands
Lenders reveal struggles over IFRS 9 roll-out
Size of task caught some banks unawares, leading to botched home-grown systems or data problems
Banks explore new data techniques to tackle money laundering
Artificial intelligence in tandem with human analysis seen as effective for know-your-customer
Esma expected to tighten rules for Mifid data services
After criticism of new regime, market is braced for guidance that could pile pressure on APA business
CFTC puts new spin on spoofing cases
Charges may be brought under regulation 166.3 in cases where intent is hard to prove
Risk management on course to move beyond cost centre
Video Q&A: Neil Dodgson, IBM Watson Financial Services
Regulatory and economic pressures argue for banks to embrace new approaches to technology
Video Q&A: Neil Dodgson, IBM Watson Financial Services
Facing down complexity – Creating a global framework for compliance
TMF Group discusses how in‑house general counsels can help Asia-Pacific‑based organisations navigate an increasingly complex regulatory landscape by creating a global subsidiary compliance strategy that also addresses regional needs
The rapid evolution of compression: Keeping pace with optimisation activity
Sponsored forum: Capitalab
Regtech – Enabler of the shift from compliance to performance
Survey report & white paper | Moody's Analytics
Regulator prepares crackdown on inaccessible Mifid data
UK regulator says approved publication arrangements not observing spirit of the rules
SEC liquidity rule delay a double-edged sword for asset managers
Some mutual funds say a staggered approach to implementation will add to their workload
Esma investigating Mifid trade data publishers
European regulator warns approved publication arrangements could be breaking the rules
Next-generation GRC
Webinar: Nasdaq BWise
Top 10 op risks 2018: IT disruption
Fear of disabling cyber attack trumps risk of data theft
Isin service increases annual fees by 73%
Anna DSB warns venues against gaming the fee model