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Financial Services Regulation

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.

originally founded 01 Jul 2010

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Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Foreign Direct Investment Q3 Snapshot

Following up on my 2nd quarter foreign direct investment review, we’ll pick it up in Ireland which set out a new FDI screening rule similar to that of the UK. The Screening of Third Country Transactions Bill 2022 should be enacted before end of year and will require notification of transactions in issuers with activities affecting security or publ...

24 October 2022 /regulation /markets

Pascal Aerens CPO at Neterium

Sanctions and the friction reduction paradox

Last week, the banking community gathered in person again for SIBOS, the largest global financial services networking event organised by SWIFT. Many sessions focused on reducing friction in payments. Today’s complex geopolitical landscape meant that sanctions – a major source of friction – were top of mind for many in attendance. As the financial ...

23 October 2022 /regulation /crime

Donnie MacColl Director of EMEA Technical Services at HelpSystems

New Payment Security Standards Update Lacks Sense of Urgency

As COVID hit businesses around the world, and shops were either closed or no longer accepting cash as the preferred method of payment, we saw a dramatic increase in payment card data volume. Fast-forward to today, and the volume of online transactions and use of point-of-sale machines continue to soar. As most of the data is held in the cloud, the...

13 October 2022 /security /payments

Harriet Christie Chief Operating Officer at Mirrorweb

The SEC's New Marketing Rule: How to Stay Compliant and Avoid Big Fines

The U.S. Securities and Exchange Commission’s (SEC’s) Marketing Rule was approved in December 2020 and came into effect on May 4, 2021. From that point, Registered Investment Advisers (RIAs) have had an 18-month transition period — until November 4, 2022— to fully adhere to its updated regulations. This article will delve into how and why it has ...

14 September 2022 /regulation

Mete Feridun Chair at EMU Centre for Financial Regulation and Risk

What do EBA’s final SREP guidelines and RTS mean for investment firms?

The European Banking Authority’s (EBA) final regulatory products with respect to the Investment Firms Directive (IFD) published on 21 July 2022 are expected to harmonise the supervisory practices regarding the supervisory review and evaluation process (SREP) of investment firms. The new regime spans a broad range of prudential areas ranging from c...

13 September 2022 /regulation

Oana Avramescu Global Insurance Solution Lead at SAS

Insurance Capital Standard 2.0: A path to regulatory transformation

Sweeping regulatory changes are happening worldwide in risk management. With the imperative to standardize finance for the stability of the global economy – crucial in the wake of COVID-19 and growing climate risks – regulators are intent on creating greater transparency in the financial services industry. There are many examples of this regulato...

17 August 2022 /regulation

Mark Aldred Head of Sales at Auriga

Could the FCA and Fintech Rewrite the Rules for Branch and ATM Cuts?

On 26th July 2022, the FCA ended its consultation on whether its guidance on how banks close branch and ATMs services should be changed. This consultation was significant because it acknowledged current guidelines on these services were cut or altered were not working. So what should happen next? More Transparency From the FCA and the banks, we do...

28 July 2022 /retail /inclusion

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Foreign Direct Investment Roundup Across Europe

Being that the UEFA Women’s Euro 2022 tournament is underway and Wimbledon has come to a close, I’ll devote this foreign direct investment roundup to the region. Plus, there have been quite a few announcements during Q2 so let’s get started. In Belgium, the government there has drafted legislation to establish a framework to screen foreign direct ...

12 July 2022 /regulation /markets

Nick Green Director at Purple Patch Broking Ltd

Improving consumer credit: A deep dive into the FCA’s recommendations for Fintech

According to an FCA survey, in 2020, 81% of UK adults had used a form of regulated credit within the last 12 months. As consumers move away from traditional, regulated forms of credit (like credit cards), how is the unsecured credit market shaping up? It’s changing rapidly — with fintech products becoming more easily accessible than ever before. W...

16 June 2022 /regulation /retail

John Bertrand MD at Tec 8 Limited

Scammers are Organised, Persistent and Digital

On seeing what looked like a factual internet reporting on Jeremy Clarkson on Day Time TV making money investing in a company using algorithms, a colleague and I agreed to go 50/50 on the €250 initial minimum investment. After filling in the questionnaire, the scammers called me on the number below and took the €250 fee. Upon re-calling the number...

06 June 2022 /payments /crime