Financial Services Regulation

Group founded 01 Jul 2010
Posts 551
Members 61
Group summary

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

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Robert Houghton

Top four compliance trends to watch in 2024

As financial institutions gear up for the next 12 months, it’s time to reflect on the key trends and developments, considering how they’ll shape the year ahead. While the financial landscape is consta...

21 Dec 2023
Domenico Scaffidi

Behind the scenes of the Migration of the SEPA payment schemes to the 2019 version of ISO 20022 post

Let’s start saying veterans like me haven’t been surprised that much reading the EPC bulletin on SEPA Migration to the 2019 version of ISO 20022, announcing the decision to postpone the go live. Peopl...

08 Dec 2023
Mireia Tomàs

PSD3: What Is It and What Does It Affect?

PSD3, the anticipated upgrade to PSD2, emerged in late 2018, marking a regulatory stride five years after PSD2's introduction. The renewed Payment Services Directive aims to encompass a broader scope ...

22 Nov 2023
Mireia Tomàs

Enriched payment data: Exploring the AN 4569

Data is one of the most valuable assets, transforming industries in unprecedented ways. Among these industries, are finance and payments where data plays a critical role. This blog post will discover ...

20 Nov 2023
Robert Houghton

Six steps to ensure compliance in a work-anywhere world

The battle about operating at home, in the office or other locations continues to rage in financial services. Yet in many ways, the debate is irrelevant. The genie is out of the bottle. Ignoring it – ...

17 Nov 2023
Anna Monteiro

SEC Adopts Short Selling Reporting Rule 13f-2

In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short sale data from which is in response to Section 929X of the Dodd-Frank Wall Street Reform...

17 Oct 2023
Anna Monteiro

Stepping Closer to a SEC Decision on 13D/G

On 22 June, the SEC’s Investor Advisory Committee (IAC) held a public meeting (13D/G ~3:09 mark) which included a discussion on the proposed amendments to the 13D/G filings. We’re all familiar with t...

11 Jul 2023
Nick Green

Choosing between single or multiple credit bureaus: How do lenders decide

The lending universe heavily relies on credit data in assessing an individual's creditworthiness. This information is collected and analysed by CRAs, like Equifax, TransUnion, and Experian, generating...

26 Jun 2023
Anna Monteiro

First Half Catch-up on Foreign Direct Investment

Most regulatory activity for foreign direct investment in this first half of 2023 has been focused on issuing consultations for proposed changes to existing laws. Several countries issuing consultatio...

06 Jun 2023
Mete Feridun

In what aspects do the UK and EU investment firm prudential regimes diverge?

Investment firms have very different business models and risk profiles to credit institutions. They facilitate savings and investment flows by providing professional services such as investment advice...

18 May 2023

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