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Be prepared : changing market dynamics and revolving regulatory requirements

[fa icon="calendar'] 20-Mar-2018 11:02:15 / by David Woolcock posted in Banking, Blog, Regulation, Compliance, Best Execution, Software

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MiFID II ISINs - If you want to see the sunshine, you have to weather the storm.

[fa icon="calendar'] 23-Feb-2018 12:27:40 / by David Woolcock posted in Banking, Blog, MiFID, Regulation, Compliance, MiFID II, regulatory reporter

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In my last blog The week that was the MiFID II deadline I highlighted the issue with LEI’s. This time it seems it is the turn of ISINs that are causing some turbulence below the surface of what otherwise has been a great industry effort to get the good ship (MiFID II) launched and implemented without any sharp squalls driving us onto the rocks.

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The week that was MiFID II deadline week……..

[fa icon="calendar'] 16-Jan-2018 12:32:50 / by David Woolcock posted in Banking, Blog, Regulation, Compliance, MiFID II

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So the 3
rd of January came to pass and the City was not plunged into meltdown by the implementation of MiFID II/MiFIR. Some confusion reigned due to the late announcement of 6-month smoothing exercise to the implementation of LEI’s. The summary statement was – 

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T'was the night before Christmas

[fa icon="calendar'] 19-Dec-2017 11:01:57 / by Kathryn Emerson posted in Banking, Blog, MiFID, Regulation, Compliance, MiFID II

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T’was the night before Christmas, when all through the bank,

Treasury Managers were wondering who they should thank,

For the upcoming challenges they were due to face,

And new regulation they have to embrace.

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Advent surprises and few bells jingled!

[fa icon="calendar'] 11-Dec-2017 11:54:00 / by David Woolcock posted in Banking, Blog, MiFID, Regulation, Compliance, MiFID II, PSD2, Advent

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PSD2 - Is your FX Sales Desk ready?

[fa icon="calendar'] 23-Nov-2017 11:55:03 / by Matt Townsend posted in Banking, Blog, Regulation, Compliance

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In conversation with clients, one topic that comes up time and again is PSD2. When I ask "So, what are you doing on PSD2" there are broadly two responses, "We have it under control" or "We have a team looking at it" swiftly followed by “it can't be much different to PSD".  Can it?  The answer is quite simply Yes! How much different PSD2 is to PSD is another story altogether and something that deserves a little more time. 

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Trick or treat? What ghouls & demons can we expect to be knocking on our doors? MiFID III (yes three!) possibly a big demon?

[fa icon="calendar'] 31-Oct-2017 10:12:46 / by David Woolcock posted in Banking, Blog, MiFID, Regulation, Compliance, MiFID II, ACI, Halloween

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Halloween got me thinking as to what demons the European markets might expect on a spooky night like tonight. What could come knocking at our doors and will they be trick or a treat? 

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It is Autumn and the leaves begin to fall…

[fa icon="calendar'] 11-Oct-2017 14:36:41 / by David Woolcock posted in Banking, Blog, Regulation, Compliance

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A hash of regulation for breakfast

[fa icon="calendar'] 06-Oct-2017 13:31:33 / by David Woolcock posted in Banking, Blog, Regulation, Compliance, MiFID II

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It is not just the big fish that are caught – A brief look at manipulation, best execution and principles, principles, principles…………………………….

[fa icon="calendar'] 21-Aug-2017 07:44:00 / by David Woolcock posted in Banking, Regulation, Compliance

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You would be mistaken if you thought enforcement notices were just the preserve of big banks and individuals. Many smaller regulated banks fall foul of the FCA’s and other authorities’ scrutiny. For FCA regulated firms this is mainly around two important principles of business (Principle 3 & Principle 11). Principle 11 deals with relations with the regulator but the most important one is number three (and in terms of fines a costly one!).

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