Financial Conduct Authority (FCA)
Definition of a trading venue: Reg review risks ensnarling tech vendors
Industry participants are divided over the definition of a trading venue and how regulators should revise the regulatory framework.
UnaVista SFTR closure casts doubt on viability of reg reporting
The decision to shutter the service is another blow to the industry and the business case of reg reporting under SFTR.
Bloomberg RHub fee hike reflects cost pressures of regulatory reporting industry
Market participants say the price hikes reflect the struggle among regulatory reporting service providers to run sustainable and profitable businesses.
The ABCs of NLP: How Trading Firms Used NLP to Navigate 2020
This year, natural language processing came to the fore in capital markets, helping firms of all kinds parse huge, unstructured datasets.
EU's AI Regulations Could Lay Blame With CTO
Jo wonders if the EC's approach to regulating AI could adapt existing liability laws—with implications for individuals.
People Moves: Google Cloud, FCA, TP Icap, FMSB, Compliance.ai
A look at some of the key "people moves" from this week, including Yolande Piazza (pictured) who has been appointed vice president at Google Cloud.
Scrutiny and Frictions Follow EMS Vendors into Fixed Income
Aggregators are facing resistance from venues and attracting the attention of regulators.
FCA Using NLP, Machine Learning to Regulate Businesses
The regulator is advancing with its strategy to improve its use of tech in its oversight role, says data chief.
AI Can Drive Reconciliations Efficiency In Period of Increased Volume
As the coronavirus drives trading volumes, post-trade processing is increasingly an area of operational risk, and firms should consider automation, analyst says.
Banks Race to Adapt AML Systems for the Coronavirus Age
Lenders expect regulatory lashing if controls fail to keep pace with changes in criminal behavior.
LSEG To Build DLT PoC for Equities Settlement
The exchange's blockchain architect says the product is being prepared for testing in the FCA's sandbox.
FCA and BoE: Evaluate Your Third Parties
Consultation on new rules is set to close on April 3, but regulators are reviewing deadlines as firms are under pressure due to the coronavirus.
Datactics Takes 'Human-in-the-Loop' Approach to Machine Learning
The data quality and matching specialist is testing an entity resolution model for better transparency and explainability.
APIs a ‘Game Changer’ for Third-Party Oversight – BNY Mellon EMEA Commercial Lead
As UK regulators look to strengthen operational resilience rules, one solution could be to use APIs to access vendor data.
People Moves: Archax, Broadridge, FCA, Qontigo, and TruNarrative
A look at some of the key "people moves" from the past week.
Vendors Feel Heat as Regulators Pile Pressure on Third-Party Resiliency
UK regulators have proposed new laws to clamp down on operational resilience and third-party risk, pushing fintechs to put some skin in the game.
Isda Wants Regulators to use its Model to Draft Rules
The trade association is looking to offer its Common Domain Model to rulemakers.
As Public Cloud Gains Traction, Concerns & Challenges Grow
WatersTechnology looks at more than 20 cloud-based projects and initiatives to see how banks, asset managers and vendors are embracing public providers, and the inherent problems involved.
APIs to Help with Regulatory Differences Over Dark Trading
Technologists urged to adopt a more flexible plug-and-play approach using APIs, as concerns grow about the FCA and Esma's differing attitudes toward dark trading.
Bureau Van Dijk Rebuilds Risk Management Platform
Bureau Van Dijk's Compliance Catalyst has been rebuilt ahead of plans to move the platform to the cloud, as well as navigate the EU's fifth anti-money laundering directive.
FCA: UK Regtech Hype Has Cooled
The UK financial regulator is seeing fewer entrants into the industry as start-ups struggle to break into the market.
FCA Working on New Data Analytics Program
The UK regulator has moved much of its data to the cloud and is using more advanced analytics as it seeks to better regulate evolving financial firms.
The Future of Cloud Regulation: The Authorities Take Notice
A look at how regulators could approach supervising public cloud companies in the future.
Firms Struggle with SM&CR Compliance and Preparations
As all FCA-regulated firms will fall into scope of the Senior Managers and Certification Regime by the end of the year, concerns emerge on how to implement the regulation.