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The Trading Mesh

AQMetrics's Blog

MiFID II: Addressing the Challenges Together

August 7, 2017 Comments (0)           

With the final implementation of MiFID II now a mere six months away, the time has come for individual firms to seriously consider how these rules will impact them and the daily running of their business. At AQMetrics, we believe this can best be achieved by meeting with your industry peers in order to discuss, share and collaborate to jointly find workable solutions for the myriad of issues this new regulation presents. And so, with this aim in mind, last week we held our inaugural MiFID II...

More Than a Number – The Pressure on CCOs and CFOs for Data Accuracy

July 27, 2017 Comments (0)           

By Ryan Kipp, Head of Sales Americas, AQMetrics

Speaking at this year’s Global Alternative Investment Management Conference (GAIM), Suzan Rose, chief compliance officer (CCO) at Marshall Wace North America, voiced one of the key pressures facing anyone registered as CCO of an investment fund, even though many are not fully aware of it. Essentially, any CCO who submits false statements or omissions may face criminal prosecution. But how can funds ensure they are achieving the necessary...

Achieving certainty of your Portfolio Risk Analytics with Open Protocol

June 28, 2017 Comments (0)           

By Ryan Kipp, Head of Sales Americas, AQMetrics
 
From rogue traders to hedge fund failures, Ponzi schemes to Madoff, it is little wonder that operational due diligence (ODD) has become such a vital component of the asset management industry. And with regulatory obligations only set to increase in the very near future, these evaluations will play a key role in improving transparency and accountability across the sector from investment managers to their investors. Yet, as many funds are...

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

May 26, 2017 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...

MiFID II: Time to Tackle Transaction Reporting in Detail

April 25, 2017 Comments (0)           

By Steve Barnes, VP of Technology, AQMetrics.
Following the recent changes to mandatory transaction reporting (TR) being introduced under MiFID II, there are now a number of vital new reporting obligations which the markets must rapidly become familiar with. Yet as was revealed by a recent webinar I took part in on TR data and data management challenges, it was clear that the industry is hungry for additional clarity and detail around the specific changes to these reporting...

Cybersecurity Risk and the Need for a Holistic Approach

April 7, 2017 Comments (0)           

By Lorraine Toland, Business Development Representative, AQMetrics

Cybersecurity threats are now high on the list of risk mitigation priorities for most firms and institutions – and if not, then they certainly should be. In addition to the reputational damage an attack can cause your firm, it is now widely recognised that they can also wreak serious financial damage, which in turn can negatively impact your investors and shareholders. Furthermore, cybersecurity must now be viewed in...

The capture and release of wild data under MiFID II/MiFIR

March 31, 2017 Comments (0)           

By Steve Barnes, VP Technology, AQMetrics
Wild data is roaming about your organisation. The new Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR) will demand you round it up, process it and release it as trade and transaction reports.
The rules will apply from January 2018 to European Union firms, their branches outside of the European Union and financial institutions operating in the EU. Nearly all instruments are subject to the new regulation and directive, where...

Combating Spreadsheet Risk in Private Equity Firms

January 4, 2017 Comments (0)           

By Geraldine Gibson, CEO, AQMetrics
Since the introduction of the Alternative Investment Fund Managers Directive (AIFMD), Private Equity firms have been coming under increased regulatory pressure to demonstrate stronger systems and controls, particularly around data management.
Many PE firms however still rely heavily on Excel spreadsheets for a range of critical tasks, including portfolio valuations, risk calculations, capital accounts allocations, performance analysis and financial...

2016 Regtech Reflections & Five Predictions for 2017

December 21, 2016 Comments (0)           

With 2016 fading fast into the rearview mirror, we’ve taken a close look at the key regulatory and technology trends from the past year and put together our thoughts on what’s to come in 2017. With regulation constantly changing around the globe, financial professionals would be remiss not to reflect on 2016 themes and consider important milestones for the next year.
2016 Lessons – Culture & Conduct Failures… and All Those Fines
This past year, significant fines...

MiFIDII Culture and Conduct – Consistency and Control

November 7, 2016 Comments (0)           

By Claire Savage, COO, AQMetrics
In light of the recent global financial crisis, and with MiFIDII fast approaching, the UK’s Financial Conduct Authority (FCA) along with other regulators in Europe, has been placing an increasing emphasis on culture and conduct. A number of FCA publications – including a dedicated Thematic Review – as well as recent speeches from the Bank of England[1], have referred specifically to why having the right culture and conduct is...