Reporting and GovernanceRSS

ISDA puts forward framework for determining cross-border comparability

An ISDA paper sets out a risk-based framework to help compare cross-border regulatory regimes for derivatives. Justin Pugsley reports.

ESMA publishes final draft on MiFID II derivatives trading obligations

ESMA published its final draft on regulatory technical standards pertaining to derivatives trading 

Senators call for Equifax executives to be held accountable for data breach

Senators vent outrage that Equifax chairman will escape harsher financial penalties with bonus claw-back provision not yet implemented by SEC


Regulation on the threshold of algorithmic-driven change

Algorithms are rapidly transforming financial services and, as a consequence, will change the oversight of firms, how they comply with rules and the way regulators interact with the industry. By professor Philip Treleaven, director of the UK Financial Computing Centre at UCL, and Jagdev Kenth, director of risk & regulatory strategy at Willis Towers Watson. 

Prison cell

Spread of tough conduct regimes could see more bankers jailed

More countries are adopting dedicated and comprehensive conduct regimes, suggesting that more bankers could go to jail in the future for wrongdoing. Justin Pugsley reports.

Commonwealth Bank of Australia probe could spill into wider investigation

A series of regulatory gaffes by Australia’s largest lender may trigger a wider investigation into the country’s banking system, which could lead to more regulation and criminal charges being handed out.

Irish central bank raps investment firms over knuckles on MiFID II

The Central Bank of Ireland has written to the CEOs of investment firms it supervises warning them of shortcomings in their client suitability processes that leaves them short on MiFID II compliance.

Resolving MiFID II and GDPR data clashes

MiFID II and GDPR make conflicting demands over the treatment of some data, posing yet another challenge for firms trying to meet their obligations under these two very demanding pieces of legislation. By Matt Smith, CEO at SteelEye.

Strong boards key to resilient financial institutions – Fed's Powell

Fed official says strong boards crucial to resilient financial institutions and lists ways the central bank is alleviating some regulatory burdens for the senior management of banks

Mark Carney

FSB striving to stay ahead of the curve on fintech risks

Though fintech is still considered too small to be a systemic risk, the Financial Stability Board clearly does not want to be caught out when it does become one and so released a report highlighting some potential risks

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