Compliance and legal executives from some of the largest banks, brokers and asset managers in Europe gathered in Amsterdam on October 12-13 for AFME’s first conference since the pandemic. The crisis constituted one of the biggest involuntary business continuity tests in history and everyone had contributed, said Bharat Samani, Managing Director, Head of Compliance, Europe,… Continue reading AFME Conference in Amsterdam takes stock of post-pandemic challenges
Author: Alex Viall
Recordkeeping Is ‘Sacrosanct’
Remedies and technology are required to satisfy the regulators The sequel we had all been expecting to the blockbuster Nightmare on Wall Street (starring JPMorgan Securities) was released on Tuesday this week and in many ways, it was just as ‘box office’ as the first in the series. There were more well-known actors involved in… Continue reading Recordkeeping Is ‘Sacrosanct’
Giving Chief Compliance Officers The Right Stature
This article was featured in Issue 5 of GRIP Magazine, Global Relay’s exclusive publication focusing on Technology, Risk, and Compliance. “Chief compliance officers and their functions should have true independence, authority, and stature within the company.” That was the message from Assistant Attorney General Kenneth A. Polite Jr. to students on NYU Law’s Program on… Continue reading Giving Chief Compliance Officers The Right Stature
Leading From The Front
This article was featured in Issue 5 of Orbit TRC Magazine, Global Relay’s exclusive publication focusing on Technology, Risk, and Compliance. With artificial intelligence (AI) seeping into our everyday lives, in most cases in a disturbingly invisible way, parts of society are questioning why this new application of technology has been deployed before it is… Continue reading Leading From The Front
Training The Trainer
This article was featured in Issue 4 of Orbit TRC Magazine, Global Relay’s exclusive publication focusing on Technology, Risk, and Compliance. Artificial intelligence (AI) is seeping into our everyday lives, whether we like it or not. This evolving application of machine learning raises questions about the extent to which we know we are interfacing with… Continue reading Training The Trainer
Digitalization, Regulatory Change, And The Great Reset
This article was featured in Issue 4 of Orbit TRC Magazine, Global Relay’s exclusive publication focusing on Technology, Risk, and Compliance. The last two years have been a brutal experience for most corporates and their employees. Economies, institutions, and individuals have shown remarkable resilience and adaptability to a new environment. A combination of panic learning,… Continue reading Digitalization, Regulatory Change, And The Great Reset
Technological Innovation In Financial Services
This article was featured in Issue 3 of Orbit TRC Magazine, Global Relay’s exclusive publication focusing on Technology, Risk, and Compliance. Innovation within financial services is in overdrive, from new reporting tools and digital currencies to blockchain and personalized customer experiences. In this article, we look at regulators’ approach to fostering innovation in Europe. EU… Continue reading Technological Innovation In Financial Services
Fossil Fuels Pose New Compliance Headaches for Hedge Funds
The divestment from fossil fuel assets has been an ongoing trend for nearly a decade. Today that push to divest has engulfed a myriad of public institutions, from universities to pension funds and major companies. On top of this, with the increasing focus on Environmental, Social and Governance (ESG) compliance, the urgency has only grown… Continue reading Fossil Fuels Pose New Compliance Headaches for Hedge Funds
Fund Managers Should Pay Attention To Warning Signals From COP26
For hedge funds not already thinking about ESG strategies, the COP26 global climate summit in Glasgow last week should serve as a wakeup call. ESG has become the world’s latest flashpoint, pitting activists, shareholders, and lawmakers in a tug-of-war over climate change, greenhouse gas emissions, diversity, and equity. Just as the pandemic and the worldwide… Continue reading Fund Managers Should Pay Attention To Warning Signals From COP26
Market Abuse Risk in Rates and Fixed Income Markets
The UK Financial Conduct Authority (FCA) just released the latest issue of Market Watch, its regular newsletter on market conduct and trade reporting. Issue 68 focuses on gaps in surveillance of web-based trading platforms, which are widely used for Rates and Fixed Income products. Some consistent themes have emerged in previous issues (48, 50 and… Continue reading Market Abuse Risk in Rates and Fixed Income Markets