Regulatory System

Thoughts on the market rout, compliance and working from home
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Thoughts on the market rout, compliance and working from home

  Having worked in the financial industry for 20 years, I always found it interesting how stock markets have been the proxy for gauging public fear. My first job was working as a trader at a Wall Street firm. The first taste I got about the connection between the markets […]

Glasgow-based AutoRek Partners with Nationwide to Offer Data Management and Cloud-powered Financial Controls
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Glasgow-based AutoRek Partners with Nationwide to Offer Data Management and Cloud-powered Financial Controls

Glasgow-headquartered AutoRek, a firm that provides financial controls and regulatory reporting software, has teamed up with Nationwide to offer a data management solution and cloud-powered financial controls for a three-year period, with a two-year extension plan. Gordon McHarg, managing director at AutoRek, stated: “I am really pleased to welcome an […]

Financial regulators address the economic & operational effects of COVID-19
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Financial regulators address the economic & operational effects of COVID-19

Financial regulators across the globe have issued statements announcing precautionary measures to address the economic impact of the coronavirus (COVID-19), signalling a growing willingness to intervene. The Bank of Japan (BoJ), European Central Bank (ECB), UK’s Financial Conduct Authority (FCA) and the US Federal Reserve have all announced a range […]

European Union unsure how to regulate Facebook’s Libra
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European Union unsure how to regulate Facebook’s Libra

The EU cannot work out exactly what Libra is according to a memo by European Commission executive vice-president, Valdis Dombrovskis. Dombrovskis refers to the “need to ensure clarity” about what Libra is, but that the information provided by Facebook is not sufficient. Libra is described as a “moving target” that […]

Red Deer and Cappitech combine MiFID II and MAR services for the buy-side
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Red Deer and Cappitech combine MiFID II and MAR services for the buy-side

Compliance technology providers Red Deer and Cappitech will offer each other’s services to their respective clients for a more integrated solution. Technology providers Red Deer and Cappitech have teamed up to combine their services to provide investment firms with a holistic regulatory compliance solution. The partnership will see Red Deer […]

FCA takes control over AML and CTF supervision of UK cryptoasset activities
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FCA takes control over AML and CTF supervision of UK cryptoasset activities

UK businesses conducting cryptoasset activities must register with the FCA. The UK Financial Conduct Authority (FCA) has become the anti-money laundering and counter-terrorist financing (AML/CTF) supervisor for businesses engaging in certain cryptoasset activities under the amended Money Laundering, Terrorist Financing and Transfer of Funds Regulations 2017 (MLRs). Any UK business […]

Give regulators new powers or risk missing net zero, NIC warns
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Give regulators new powers or risk missing net zero, NIC warns

Regulators must be given new powers to ensure utility firms invest in sustainable infrastructure or the UK’s net-zero emissions target is at risk. In a new report, published today (11 October 2020), the National Infrastructure Commission has warned that ministers must move to strengthen power the country’s utility regulators – […]