RegTech Insight Regulations The latest content from across the platform
Navigating the MiFIR Refit in 2024
The MiFIR Refit came into force in May to overhaul the European financial landscape with its focus on transparency and data integrity. Its ban on Payment for Order Flow aims to remove any vestiges of conflict of interest, while the consolidated tape is set to provide a comprehensive view of market data in a standardized…
Addressing the Global Refit with deltaconX
ESMA has opted for a big-bang approach to the EMIR Refit, as have the regulators behind similar mandates in the UK and across the Asia-Pacific region. The approach has left many firms scrambling to meet tight and onerous compliance deadlines. “It has been a humbling period for many firms, dealing with the isolating challenges of…
Recorded Webinar: Best practices for compliance with EU Market Abuse Regulation
EU Market Abuse Regulation (MAR) came into force in July 2016, rescinding the previous Market Abuse Directive and replacing it with a significantly extended scope of regulatory obligations. Eight years later, and amid constant change in capital markets regulation, technology and culture, financial institutions continue to struggle to stay on the right side of the…
Generative AI Poised for Leading Role as Regulatory Data Burden Grows
Amidst the hype around Generative AI (GenAI) and Large Language Models (LLMs), practitioners are beginning to realise that these emerging technologies can make a positive impact on the collection and validation of regulatory data. The categories and scope of regulatory data requirements have expanded considerably in response to rapid market developments and growing regulatory scrutiny….
ESMA Good Practices Statement Hides a Warning on Pre-Close Calls
ESMA recently published a statement titled Good practices in relation to pre-close calls. The statement was prompted by media reports and verification by National Competent Authorities (NCAs) of a link between pre-close calls between issuers and analysts and subsequent volatility, in some cases raising suspicion about possible unlawful disclosure of inside information. It should be…
ESMA Good Practices Statement Hides a Warning on Pre-Close Calls
ESMA recently published a statement titled Good practices in relation to pre-close calls. The statement was prompted by media reports and verification by National Competent Authorities (NCAs) of a link between pre-close calls between issuers and analysts and subsequent volatility, in some cases raising suspicion about possible unlawful disclosure of inside information. It should be…
UK’s Debut SDR Rules Raise Data Management Concern
The UK’s newly implemented sustainability disclosure requirements (SDR) have placed additional data management burdens on financial institutions that operate in the UK. The country’s first such framework, created by the Financial Conduct Authority (FCA), is aimed at preventing greenwashing and fostering trust in British sustainability markets. It’s designed to protect the interests of investors by…
Duco Wins Award for Best Transaction Reporting Solution in A-Team Group RegTech Insight Awards Europe 2024
Duco has won the award for Best Transaction Reporting Solution in A-Team Group’s RegTech Insight Awards Europe 2024. These annual awards recognise both established providers and innovative newcomers offering RegTech solutions that are successfully improving firms’ ability to respond effectively to evolving and ever more complex regulatory requirements across the global financial services industry. Duco’s…
A-Team Group Announces Winners of RegTech Insight Awards Europe 2024
A-Team Group has announced the winners of its RegTech Insight Awards Europe 2024. The awards recognise both established providers and innovative newcomers providing RegTech solutions to capital market participants that significantly improve their ability to respond effectively to evolving and ever more complex regulatory requirements. The awards were announced on 23 May 2024. This year’s…
CUBE Expands Regulatory Reach With Strategic Acquisitions & Partnerships
CUBE recently announced the acquisition of Reg-Room, a strategic move aimed at broadening its regulatory intelligence capabilities. This acquisition, coupled with a significant new partnership with investment firm Hg, marks a pivotal phase in CUBE’s growth strategy. The acquisition of Reg-Room, allows CUBE to incorporate and expand its regulatory change monitoring and analysis. This is…