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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

Around the World of Foreign Direct Investment

Just coming up for some air, having had a busy first half to 2021 and realizing that my update on foreign direct investment is long overdue. Let’s not waste any time because there’s plenty to report since my end of year 2020 roundup. Early in the year, Germany issued a consultation to amend its FDI regime and made the following effective 1 May 20...

/regulation /markets

Nick Green

Nick Green Director at Purple Patch Broking Ltd

A quick look at the data requirements for the 6th Anti-Money Laundering Directive 6AMLD

6AMLD: A quick look at the data requirements for the 6th Anti-Money Laundering Directive (6AMLD) Anti-Money Laundering (AML) is one of the most intense areas of financial regulation. With the development of money laundering crimes constantly evolving, the steps firms take to prevent these crimes are often insufficient. With the 6th Anti-Money La...

/regulation /retail

Maximilian Dyck

Maximilian Dyck 

Automating regulatory reporting - the case of IFR

Automation technology has changed the world in more ways than one. Smart phones can recommend music choices based on listening patterns, while self-driving cars are becoming reality. Better automation can also significantly transform supervision and regulatory reporting at financial institutions. With the regulatory burden increasing, new technolo...


Corinne Jones

Corinne Jones Marketing Manager at Suade Labs

Operational Risk: The Tech Solution

Dr Maximillian Dyck, Paralegal, Suade Labs COVID-19 has brought sound operational risk practices into focus around the world of business. Operational risk is the risk of loss from failures in internal processes. As COVID-19 disrupted our day-to-day lives, businesses closed their offices. Collaboration among employees suddenly became a challenge ...

/regulation /covid-19

John Bertrand

John Bertrand MD at Tec 8 Limited

A Rude Awakening: fraudsters are now fearless

Faster payments is the fraudsters’ preferred method of payment as the money arrives almost immediately in the payee’s account. To receive that payment therefore, the fraudster has to open a bank account. The current dysfunctionality is each bank holds the client’s information in confidence and does not share insights on risk on that account to oth...

/payments /crime

Alan Blanchard

Alan Blanchard Country Head UK at Apiax

Cross-border banking in the digital age

The legal and reputational risks associated with providing cross-border financial services have risen sharply in recent years. Current national lockdowns and travel restrictions, alongside major regulatory upheaval, such as Brexit, are only adding to the challenges facing global banks. With bankers, wealth managers, asset managers and other financ...

/regulation /wealth

Garima Chaudhary

Garima Chaudhary Head of Fin. Crime Solution Consulting - Americas at Oracle

Fight Money Launderers and Protect Wildlife

Money Laundering and Its Impact on Wildlife Every year, the illegal wildlife trade—which includes the smuggling, poaching, capture, and collection of endangered species and protected wildlife—threatens many animal species with extinction. Demand for rhino horn—which is more expensive than gold—resulted in the extinction of Africa’s western black r...

/regulation /crime

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at

Rounding out 2020 Foreign Direct Investment Regulations

Now that we have seen a close to 2020, let’s take a look at foreign investment changes around the globe. Following on from my 2nd installment in September, foreign investment regulations have continued to tighten in the more democratic nations and loosen in those less so. In November, the UK government introduced the National Security and Invest...

/regulation /markets

Darragh Pelly

Darragh Pelly COO at Reitigh Software

How financial services companies can become change makers

Change is the only constant in the financial services sector. This has long been the case; however, the coronavirus crisis has put it on a level like nothing else we have ever seen before. The implications of the pandemic have been far reaching. Falling credit ratings reduced the world of investment grade bonds, face-to-face selling became imposs...

/regulation /cloud

Retired Member

Retired Member 

How to Simplify New Beneficial Ownership Disclosure Rules

The United States has stepped up its anti-money-laundering practices after taking some heat. In the Financial Action Task Force's 2016 mutual evaluation, the group found: Lack of timely access to adequate, accurate and current beneficial ownership (BO) information remained one of the fundamental gaps in the US. [1] As a result, the United States re...

/regulation /crime

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