From Data/AI Literacy to Fluency to Culture
Publications
Articles, research and insights.
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Article 5 minutes read
When FINRA asks to speak to your Supervisor…
FINRA requires all broker-dealers to have a supervisory framework in place that is “reasonably designed” to comply with applicable rules and regulations.
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Article 5 minutes read
REG W(hat)?
Over a decade ago, the Federal Reserve Board (FRB) adopted and implemented Regulation W (Reg W). Since then, much has changed in the Banking world, and for many institutions, and even the Regulators, Reg W took a back seat to newer, more pressing regulations.
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Article 3 minutes read
AI to optimize Compliance activities
In the context of increasing compliance challenges, AI and RegReview facilitate and accelerate regulatory monitoring and compliance.
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Article 6 minutes read
RING-FENCING: The Challenges Facing UK Banks
What is the purpose of the new ring-fencing rules and what do they include?
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Article 7 minutes read
EMIR II: Requirements, improvements, developments
From the introduction of this regulation to the upcoming challenges of the market participants, this article aims at providing the reader with an idea of the immediate changes of EMIR.
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Article 6 minutes read
Update on 5G Liquidity Reporting Requirements and Framework
The Board of Governors of the Federal Reserve System published the final instructions for its FR 2052 reporting requirements.