Financial Conduct Authority (FCA)
Waters Wavelength Podcast Episode 77: A Look at Mifid II Developments & the Use Cases for Behavioral Analytics
This week, Anthony and James take a look at recent developments pertaining to Mifid II and then they talk about how firms are increasingly turning to behavioral analytics platforms to better examine trading decisions.
FCA Clarifies Approach to Research Unbundling under Mifid II
Amendments to rules on best execution and investment research confirmed by regulator for UK firms ahead of January 2018 implementation date.
Regtech May Be the New Fintech But Will the Momentum Last?
John considers the momentum around the Regtech movement and if it can last for some of the smaller firms in the space.
Robot Cops and the World of Tomorrow
Technology is creeping into buy-side compliance processes, but to what degree?
Tech Investment Could Help UK Asset Managers Meet FCA's Calls for Sweeping Changes
Markets watchdog releases blistering criticisms of client charges and proposes all-in fee
FSB: No Systemic Risk from Fintech Now but Counsels Future Vigilance
International regulators say it's too soon for fintech such as blockchain or robo-advisors to pose a threat to financial stability, but warns that caution is still necessary.
FCA Urges Buy Side to Make Assumptions on Mifid II Provisions
FCA speaker says regulators would punish firms that did nothing ahead of Mifid II, but not the ones that tried but failed.
"Arbitrary" Dark Pool Caps Leading to Increase in Block Trading and Innovation
Innovation and large-in-scale trading are set to be given a boost as the industry seeks ways to combat the dark pool double volume caps under Mifid II.
ITG, Commcise Target Buy-Side Mifid II Research Payment Struggles with Integrated Offering
Integrated solution to provide end-to-end offering for asset managers in research payment and management ahead of rule changes.
Wind of Change Disperses Cloud Data Doubts
Banks are warming to the benefits of cloud computing for market and enterprise data storage and resource-intensive calculation and testing requirements. But, as Joanne Faulkner discovers, there are still challenges that must be overcome before cloud can…
Trax Gets FCA ARM Nod, Awaits Test Details
MarketAxess’ Trax unit has received FCA approval to test transaction reporting capabilities under MiFID II, but is waiting for details of what the tests will involve.
FCA Recognizes Mifid II Data Challenges but Reiterates “Real Deadline” Stance
The UK's Financial Conduct Authority is working to ensure its own readiness for Mifid II data challenges, and acknowledges that many firms will struggle with similar issues.
UK’s Financial Conduct Authority Has One Eye on Europe, One on Asia
The UK regulator has strong words for asset managers on best execution, while it builds bridges for fintech development with its Japanese counterpart.
UK Regulator Mulls LEI Filing Requirement
The FCA proposes that issuers provide LEIs for regulated information under the Transparency Directive
Participants Praise FCA Hackathon for Boosting Collaboration on Reg Reporting Prototypes
The FCA's TechSprint events aim to foster collaboration and development around new regtech solutions.
The Road to Regtech 3.0
With regional banking authorities supporting fintech accelerator events, the "regtech" movement is gathering steam.
Wolters Kluwer Brings Regulatory Reporting Expertise to FCA's TechSprint Event
Already underway, the FCA's hackathon-style event will bring together market participants to contribute to new regulatory technologies.
FCA TechSprint Regulation Development Event to Use JWG's RegDelta Tool
The UK-based think-tank will supply its RegDelta solution to event participants to encourage regulatory technology development.
The Financial Big Bang 30 Years On: The Times Have A-Changed
How the deregulation of London's capital markets structure in 1986 has led to large amounts of regulation in 2016.
Industry Still Lacks Golden Source for Reportable Securities
ESMA list the only option but 'far from ideal', says expert
FCA Reveals Users' MiFID 2 Cost Concerns, Outlines Proposed Reporting Platform Fees
FCA meeting minutes show users expressing their concerns about the cost of data, post-MiFID 2, while the FCA outlines the costs of its own MiFID 2 reporting solution.
UK Firms Consider How Brexit May Change Compliance Data Needs
The message from regulators is clear: firms must comply with current European regimes. But in the longer term, the answer is that the only certainty is uncertainty
FCA Sets Sights on Regtech
UK regulator's Project Innovate looks at regulatory reporting, KYC
Opening Cross: Alternatives, Alternatives...
Looking for exposure to alternative investments? You'll need alternative types of data.