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The high cost of a bigger MiFID
March 2, 2015 – 8:16 am | Be the first to comment on this story.

83By Selwyn Parker, Wolters Kluwer Financial Services’ contributor.

With the trigger date of the mark 2 version of MiFID less than two years away, the costs of compliance will rise right across the EU financial sector. They can be counted in two ways –the high price of implementation and the man hours required to get prepared for yet another regulatory onslaught. Read the full story »

Africa makes its voice heard at global regulatory tables
February 27, 2015 – 8:29 am | Be the first to comment on this story.
Africa makes its voice heard at global regulatory tables

By Nick Kochan, Wolters Kluwer Financial Services’ contributor.
Africa numbers among its countries some of the world’s fastest growing economies. Its institutions are growing fast too. Many performed relatively well during the financial crisis. Yet, despite …

The role of the model within the conduct of financial-services
February 23, 2015 – 6:52 am | Be the first to comment on this story.
The role of the model within the conduct of financial-services

By Steve Blackbourn, Wolters Kluwer Financial Services’ contributor.
2014 saw another year of many events and developments surrounding and impacting the UK regulatory regime applied to regulated financial-services firms, organisations and their business activity. This included …

Spotlight on the UK Money Laundering Reporting Function: CF11
February 12, 2015 – 9:31 am | Be the first to comment on this story.
Spotlight on the UK Money Laundering Reporting Function: CF11

By Sharon Williams, Wolters Kluwer Financial Services’ contributor.
All regulated firms, with the exception of those engaged in certain types of investment business, are required to appoint an Approved Person to carry out the controlled function …

Solvency II – Parliament and Council ready to adopt the Delegated Act
February 3, 2015 – 9:53 am | Be the first to comment on this story.
Solvency II – Parliament and Council ready to adopt the Delegated Act

By Michael Imeson, Wolters Kluwer Financial Services’ contributor.
With less than a year to go before the Solvency II risk and capital management regime comes into effect, the European authorities are close to adopting the Delegated …

Regulatory Radar – February 2015
February 3, 2015 – 9:51 am | Be the first to comment on this story.
Regulatory Radar – February 2015

By Steven Bklackbourn, Wolters Kluwer Financial Services’ contributor.
Steve Blackbourn takes a glance at key regulatory events, developments and publications issued during the month of January 2015.

The Compliance function needs to be proactive as Terrorist funding threat grows
January 29, 2015 – 8:21 am | Be the first to comment on this story.
The Compliance function needs to be proactive as Terrorist funding threat grows

By Nick Kochan, Wolters Kluwer Financial Services’ contributor.
Terrorist financing is back on banks’ agenda with a vengeance as the terrorist threat levels rise across Europe. This is having profound effects on the compliance function, with …

The Upper Tribunal and High Court tackles conflicts of interest, integrity and dishonesty issues at Arch Financial Products LLP
January 26, 2015 – 6:22 am | Be the first to comment on this story.
The Upper Tribunal and High Court tackles conflicts of interest, integrity and dishonesty issues at Arch Financial Products LLP

By Adam Samuel, Wolters Kluwer Financial Services’ contributor.
To say that the last few months have not been good for Robin Farrell, the former Chief Executive of the various Arch companies would be an understatement. On …

The Italian Job
January 20, 2015 – 9:26 am | Be the first to comment on this story.
The Italian Job

By Selwyn Parker, Wolters Kluwer Financial Services’ contributor.
Stressful scenarios
Italy’s biggest banks face a tough year before they can satisfy European regulators that they are able to withstand a deep shock to the financial system. As …

It’s not over yet – the regulatory agenda for Europe in 2015
January 14, 2015 – 12:15 pm | Be the first to comment on this story.
It’s not over yet – the regulatory agenda for Europe in 2015

By Michael Imeson, Wolters Kluwer Financial Services’ contributor.
Many of the European Commission’s reforms of financial regulation are complete, but more proposals are pending for 2015 and a number of loose ends need to be tied …

Improving UK complaints handling – really
January 7, 2015 – 10:10 am | Be the first to comment on this story.
Improving UK complaints handling – really

By Adam Samuel, Wolters Kluwer Financial Services’ contributor.
The title of the FCA’s December 2014 consultation paper “Improving complaints handling” takes the notion of the gap between hope and expectation to a new level. Despite numerous …

Pushing the Boundary: MiFID II and the Regulatory Perimeter
January 5, 2015 – 9:08 am | Be the first to comment on this story.
Pushing the Boundary: MiFID II and the Regulatory Perimeter

By Martyn Oughton, Wolters Kluwer Financial Services’ contributor.
The introduction of the Markets in Financial Instruments II (MiFID II) Directive, set for the start of 2017, is going to represent another fundamental shift in the regulation …

Regulatory Radar – January 2015
January 2, 2015 – 5:50 am | Be the first to comment on this story.
Regulatory Radar – January 2015

Steve Blackbourn takes a glance at key regulatory events, developments and publications issued during the month of December 2014.