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Financial Services Regulation

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

In This Story, Short Sellers Are Not The Bad Guys

There’s been a deluge of press about the collapse of Adani Group after a report from Hindenburg Research which accuses Adani Group of: stock manipulation, improper use of offshore tax havens to hide the amount of Adani’s family stock ownership in the group companies, and excessive valuations. Hindenburg releases this report and acknowledges that i...

/regulation /markets

Nick Green

Nick Green Director at Purple Patch Broking Ltd

Have It All: How are Banking and Finance Unlocking Multi-Bureau Data Strategies?

For Banking and Finance, adopting a multi-bureau credit data strategy is often dismissed as “too hard to switch”, “too expensive” or “not important enough”, but this is set to change. The FCA recently set out its interim findings from the credit information market study. The study found one of the key aspects of the market not working well is “sign...

/regulation /retail

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

A Busy Fourth Quarter for Foreign Direct Investment

It was a busy fourth quarter for regulations concerning foreign direct investment. It seems that not all were watching the World Cup. Several jurisdictions issued consultations concerning qualified holdings and investment screening: EU ECB – issued consultation (now closed) on a draft Guide which aims to increase transparency by clarifying the ECB...

/regulation /markets

Retired Member

Retired Member 

The climate reporting challenges facing the financial services sector

In November, digital transformation companies, fund operators and other key stakeholders convened at the annual Fund Operator Summit to consider the major challenges facing the financial services sector in the coming years. One of the key themes of the discussions that took place emphasised how climate reporting is now more critical than ever. I...

/regulation /wealth

Christopher Colley

Christopher Colley Industry-recognized CX leader at Financial Services

Three-step plan for Consumer Duty (and other customer-focused regulation)

As financial institutions worldwide battle the headwinds of tighter monetary policy and slowing economic growth, they are having to do so in an environment of increased regulatory scrutiny. Last month, the European Supervisory Authorities (ESAs) laid out their requirements for the disclosure of financial products' exposure to fossil gas and nucle...

/regulation /retail

Retired Member

Retired Member 

The role of digital transformation in supporting modern businesses in the financial services sector

Over the past few years, the financial services sector has undergone a complex regulatory evolution. Even past the usual flow of regulation change and shifting reporting standards, there are two key trends driving this change, and which put firms at risk of falling behind if not grappled with effectively. The first trend is the ever-growing inves...

/regulation /sustainable

Harriet Christie

Harriet Christie Chief Operating Officer at Mirrorweb

FCA New Consumer Duty: The Role of Data Archiving

The UK Financial Conduct Authority’s (FCA’s) latest strategy document sets out its overarching strategy for the next three years, with the new Consumer Duty being the ‘cornerstone’. The long-awaited overhaul signifies a pivotal moment in UK financial services, as the regulator attempts to modernise the framework through which the sector is govern...

/regulation /retail

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Foreign Direct Investment Q3 Snapshot

Following up on my 2nd quarter foreign direct investment review, we’ll pick it up in Ireland which set out a new FDI screening rule similar to that of the UK. The Screening of Third Country Transactions Bill 2022 should be enacted before end of year and will require notification of transactions in issuers with activities affecting security or publ...

/regulation /markets

Pascal Aerens

Pascal Aerens CPO at Neterium

Sanctions and the friction reduction paradox

Last week, the banking community gathered in person again for SIBOS, the largest global financial services networking event organised by SWIFT. Many sessions focused on reducing friction in payments. Today’s complex geopolitical landscape meant that sanctions – a major source of friction – were top of mind for many in attendance. As the financial ...

/regulation /crime

Donnie MacColl

Donnie MacColl Director of EMEA Technical Services at HelpSystems

New Payment Security Standards Update Lacks Sense of Urgency

As COVID hit businesses around the world, and shops were either closed or no longer accepting cash as the preferred method of payment, we saw a dramatic increase in payment card data volume. Fast-forward to today, and the volume of online transactions and use of point-of-sale machines continue to soar. As most of the data is held in the cloud, the...

/security /payments

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