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The Trading Mesh

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KYC Automation That Does The Hard Work Before You Log On

May 30, 2017 by Claus Christensen   Comments (0)           

A digital approach to KYC is going to be essential for companies as new regulations make greater demands of compliance officers.
As we discussed in our previous blog, the new oversight environment will require compliance processes that are scalable, dynamic, current and comprehensive, characteristics that automation can provide and manual systems will be increasingly unable to match.
Many companies have seen the signposts and are making that transition, adopting new regulatory technologies...

Joining the Dots: The Value of an Integrated Approach to Risk Monitoring and Regulatory Reporting

May 26, 2017 by AQMetrics   Comments (0)           

By Geraldine Gibson, Chief Executive Officer, AQMetrics.
Regulatory reporting and risk monitoring are now, quite rightly, both considered high priority for most firms in the financial industry. Yet despite the growing reliance on quality data, analytics and insights to remain compliant in both of these areas, the tendency is still for them to be run on separate systems and monitored individually. In fact, firms that are still collating their data in this manner – instead of taking a...

Regulators and Rogues

May 26, 2017 by Lene Hansen   Comments (0)           

Twenty five years ago when I first started looking at financial fraud, one of the largest problems facing regulators was that of jurisdiction. Getting information regarding off-shore bank accounts being one of the best examples of this. Despite the time that has elapsed and the brain power and effort that has been thrown at the problem, the situation appears to have intensified rather than resolved itself and regulators generally have themselves to blame.
My frustrations with this situation...

Template for change

May 23, 2017 by The Realization Group   Comments (0)           

How corporate initiatives are empowering women smallholder farmers in Malawi
Women smallholder farmers form the backbone of Malawi’s agricultural workforce, yet their average productivity per hectare still remains far lower than that of their male counterparts. In this article, Mike O’Hara and Nicola Tavendale of The Realization Group discuss with Hirander Misra of GMEX Group and FinComEco, Kristian Schach Møller of the Agricultural Commodity Exchange for Africa (ACE),...

Best Execution: Do you get it?

May 22, 2017 by Chris Sparrow   Comments (0)           

Did I get best execution on my institutional order? This question, while seemingly appropriate, doesn’t make sense. It is the wrong question. Best execution is not an outcome - it is a process. The right question is: was my order executed in accordance with our best execution policies and procedures? One way to think about best execution is as due diligence for trade implementation.
Best execution is not an outcome - it is a process.
Why can’t I know if I got the...

Network flexibility and its impact on growth

May 22, 2017 by Matthew Lempriere   Comments (0)           

After almost a decade focused on readjustment, restructuring and regulatory reform, financial institutions are now starting to pay more attention to returns and revenue generation. Optimisation of IT and network infrastructure is a fundamental aspect of this.
A wave of unprecedented technology innovation has reshaped consumer experiences and expectations across many industries in the last ten years or so. However, in the wake of the global financial crisis, financial institutions have...

Hybrid IT for Financial Services

May 15, 2017 by Mark Hall   Comments (0)           

It’s fair to say that banks and other financial institutions did not take to the cloud with quite the same enthusiasm as firms in other sectors. This is beginning to change for a variety of reasons, but the past preferences of finance sector firms will continue to guide to their present and future priorities.

The promise of cloud computing offers the access to a fast-evolving array of IT capabilities and services, typically providing scale, speed and power in the processing, storage...

Power to the People

May 15, 2017 by Lene Hansen   Comments (0)           

We are clearly at a crossroads in relation to financial regulation. We are at the end of the ‘gentlemen’s agreements’ road characterised most recently by self-regulation and we are now heading down a very different road, as the recent avalanche of regulation (MiFID, MAR and MAD, I am looking at you) shows. I disagreed with the last road and strongly disagree with the new one; mainly because I don’t believe that either achieves the stated aim i.e. investor protection. But...

The future of trade surveillance

May 12, 2017 by The Realization Group   Comments (0)           

Escalating regulatory obligations demand than financial market participants take a smarter, more proactive approach to spotting abusive trading patterns, with many looking to explore the use of machine learning and artificial intelligence to automate monitoring and anticipate threats. In this article, Mike O’Hara and Chris Hall of The Realization Group hear from Certeco’s Nick Gordon, William Garner from Charles Russell Speechlys, Taras Chaban from Sybenetix, and Nasdaq’s...

Time For Technology To Take The Hard Work Out Of KYC

May 11, 2017 by Kieron O'Brien   Comments (0)           

A tidal wave of new regulations is coming, and it’s keeping KYC compliance officers awake at night.
From the Fourth Anti-Money Laundering Directive being implemented now to MiFID II and GDPR due next year, the regulatory framework we all work in is changing dramatically. And while the focus up to now has been mostly on banks and financial institutions getting their onboarding procedures in order, the new environment of tighter oversight is going to affect their clients just as...