Vincent has more than 30 years of experience in financial services, including more than 10 years’ experience working in regulatory reporting functions at Tier 1 banks
In the panel, ‘Let’s hear from the regulators’, current issues around regulation amid geopolitical crisis, the aftermath of a global pandemic, and Brexit were addressed
The FCA’s latest Market Watch has outlined recent observations on transaction reporting and instrument reference data regimes. The organisation aims to help firms maintain and improve the quality of their work in these areas
Russell Investments has selected ACA’s Regulatory Reporting Monitoring & Assurance service to help manage its transaction reporting arrangements
On 5 September, ESMA updated its Q&A on whether transactions executed between a branch and its head office should be subject to transparency requirement
Compliance advisor, ACA Group has found that transaction reporting is still not a priority for firms, despite the European Securities and Markets Authority’s fine given to REGIS-TR last year
New research from ACA Group has revealed that 97 per cent of reports under Markets in Financial Instruments Regulation and European Market Infrastructure Regulation contained inaccuracies in 2021
European capital markets require threefold policy action based on building a true EU single market for financial instruments, improved data quality and transparency in European markets, and strengthened investor protection standards
Simon Treacy, senior associate at Linklaters, highlights the challenge of navigating EU and UK financial regulation and discusses how technology can help chart a course to compliance
Nick Moss of MarketAxess discusses the advantage regulators have when assessing data quality and how the industry can adopt a similar approach
Brian Bollen talks to global bank Société Générale and post-trade vendor Torstone Technology about the latest updates on MiFIR, and why the journey toward its next review may still be a long one
Cappitech reviews the move to the ISO 20022 XML standards occurring within transaction reporting regulation
Qomply, a regulatory technology company that has processed billions of transaction reports for more than 50 investment firms, sits firmly on the front line as it assists clients with their EMIR reporting journeys. Jenna Lomax spoke to the company’s Michelle Zak to find out how the industry is responding
Michael Hall talks to Jenna Lomax about what Spectrum Markets can offer the retail trading space, how the relationship between digital and traditional assets will continue to change, and if crypto derivatives should be monitored as part of ESG policy
Once financial services firms are through this swathe of regulation, they can start again with a clean sheet, says Mark John of Pershing
Experts say DLT has the potential to open the floor to all kinds of innovations if it can become a regulatory and legally integral part of Germany’s business