Regulation & Compliance

October 2017: Watchdogs Sharpen Their Tech Teeth

We’re all used to financial institutions complaining about the burden of regulation and the amounts of data they must collect, maintain and report. But spare a thought for the organizations that will have to capture and analyze more data than any single…

AI-Spy: Machines Close in on Pricing Manipulators

Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.

Compliance Countdown: On the Home Stretch to Mifid II

September 25 marked exactly 100 days until Europe’s new financial regulatory framework, Mifid II, becomes law. Jamie Hyman gets the lowdown from market participants and observers on whether the industry is ready, what the remaining three months will look…

Regulators 2.0: Embrace Tech or Be Overwhelmed by Data

To handle the massive increases in data volumes expected from Mifid II regulation and the US Consolidated Audit Trail, regulators are examining their own data governance and technology use, report Joanne Faulkner and Kirsten Hyde.

GDPR: The Next Big Regulation

While all the talk pertaining to regulation across the capital markets has centered on Mifid II, GDPR has surprised many financial institutions due to the extent of its reach and the data governance challenges is poses. Anthony Malakian talks with…

Mifid II: Three Months to Midnight

Time is running out for buy-side firms to get their houses in order, ahead of a wholesale revamp of Europe’s trading rulebook, James says.

Final Call for Mifid II

National and privately owned stock exchanges across Europe, the heart and mind of the bloc’s financial marketplace, are gearing up for January 3, 2018, when Mifid II finally comes into force.

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