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This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.
It’s July, so naturally, things are starting to heat up here in the northeastern part of the US. Taking a look back at the first half of the year, regulatory organizations were also heating up. I’ve p...
Since the implementation Mifid1 in 2007, there has been a lot of talk about a pan-European consolidated tape, whether it would benefit the market, how it might operate and why it has not come about wi...
2020 is an unprecedented year for business. The global COVID-19 pandemic has decimated economies worldwide and with Brexit looming, the future for UK business is unclear. Just as Alice fell into Wonde...
30 years ago, financial services built everything in-house. Nowadays, with so many off the shelf software products for trading and transaction systems – accounting, HR, CRM to name a few – the challen...
2019 saw the FCA dishing out the highest level of fines ever, totalling nearly £400m in a twelve-month period. This included hefty penalties relating to anti-money laundering failings. However, in t
Late 2018 into early 2019, there was increasing attention put on foreign direct investment in sensitive sectors by several major jurisdictions. At that time, the driver for this focus was a volatile p...
Whilst lockdowns are being lifted in some parts of the world, few expect a return to pre-coronavirus norms. However, while work-life habits may have changed, in sectors such as FinTech working pattern...
Now is the time to challenge convention Our interactions with regulation play a ubiquitous and increasing role in the world economy. Individuals and organizations interact with regulation to ensure co...
Covid 19 has highlighted a need for firms in the business world to be adaptable to rapidly changing conditions. In Financial Services, changing regulations and requirements from regulators mean that d...
Shareholding disclosure, the requirement to report holdings in publicly traded companies to regulatory agencies, has been a regulatory obligation for decades. But like most regulatory obligations, fir...
If you’ve been working in and around financial markets long enough, you’ve seen your fair share of volatility and downturns like the one we are experiencing now. In times like this, it is natural to l...
With barely six months remaining before the September 2020 deadline for European Commission’s implementing regulation 2018/1212 for Shareholder Rights Directive II (SRDII), firms operating as financia...