Regulation

The Future of Blockchain-Based KYC Utilities

Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…

Esma Probes APAs Amid Mifid Trade Data Issues

Approved Publication Arrangements—a critical component in the new Mifid II European markets regulation—may be falling short of their requirements under the new transparency rules, and have drawn Esma’s attention. By Samuel Wilkes, with additional…

Wrestling Over Competing Mifid II, GDPR Data Demands

The data gathering, retention and reporting requirements of Mifid II seem at odds with the enhanced personal data protection rules of the GDPR. But with careful consideration, financial institutions can balance their regulatory obligations under the two…

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