Training the Tool Is Not Adopting the Technology
Publications
Articles, research and insights.
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Article 3 minutes read
SMCR compliance for solo-regulated firms
The Senior Managers and Certification Regime (SMCR) rollout is continuing, with solo-regulated firms falling under its scope from 9 December 2019.
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Article 7 minutes read
Stock market: Robo Advisors Performance & Consequences
The outbreak and rapid proliferation of the coronavirus pandemic rattled global financial markets in the first quarter of 2020.
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Article 9 minutes read
The EU Fifth AML Directive: Directive (EU) 2018/843
The fight against money laundering and terrorist financing has become increasingly difficult over the years with criminals having shown adaptability and opportunism in finding new channels to launder the proceeds of their illegal activities.
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Article 4 minutes read
CVA calculation: the Basel Committee is re-opening the discussion
The third Basel Accord, Basel III, is the latest in a line of regulations introduced by the Basel Committee for Banking Supervision (BCBS) to combat the misconduct in the financial system.
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Article 5 minutes read
EMIR vs. Dodd-Frank: Distinct, Yet Closely Related
Since the publication of the Technical Standards at the end of 2012, market participants have started tailoring their projects and action plans in order to comply with EMIR's requirements.
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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.