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The Realization Group wrote a new blog post titled Regulation Technology: Enabling More Than Compliance
One of the major outcomes created by the financial crisis has undoubtedly been the marked rise in regulatory scrutiny, coupled with an increase in regulators taking action against firms falling short of the required standards. For the banking industry, this has resulted in global regulatory fines of around $321 billion being imposed over the last decade, according to research from the Boston Consulting Group1. Significant regulatory changes have already come into force, including the introduction of Dodd-Frank in the US and MiFID II in Europe, with the number of rule changes needing to be...
51 days ago,(2019/03/04)
Chris Monnery wrote a new blog post titled One Touch Redux
Back in 2012 the world was still reeling from the financial crisis and the street seemed transfixed on the future of buy-side coverage at the big banks. Just like crypto today, this dominated the headlines and opinion across conferences and the media. The prediction was that what the buy-side wanted was a single point of contact into each of their brokers and that these people needed to manage both high and low touch order flows. At face value this seemed to make sense – after all, what buy-side needs multiple contacts at a single firm? And, as a broker, why not consolidate coverage to...
155 days ago,(2018/11/21)
Geraldine Gibson-Dautun wrote a new blog post titled How the new Securitisation Regulation 2017/2402/EU will impact AIFMs and UCITS in 2019
By Geraldine Gibson, CEO, AQMetrics Regulation (EU) 2017/2402 (Securitisation Regulation) introduces new internal monitoring and reporting challenges for institutional investors. EU AIFMs are already subject to internal monitoring and reporting in relation to securitisation positions under the EU Alternative Investment Fund Managers Directive 2011/61/EU (AIFMD). As of January 1, 2019, due diligence, transparency, and risk retention requirements will also impact both UCITS and non-EU AIFs in securitisation positions. How will they be impacted is the question that we look to answer...
155 days ago,(2018/11/21)
Steve Wilcockson wrote a new blog post titled Embracing alternative data – a three-stage approach for Portfolio Managers
By Steve Wilcockson, Geospatial Insight In the quest for alpha, a growing number of portfolio managers have been exploring the esoteric world of alternative data. Some forms, such as sentiment data based on terabytes of news texts and social media, are well established and have matured to the point of securing devoted followings. Other forms, such as satellite imagery that sheds light on industrial, commercial, consumer and agricultural activity, have had provisional successes but are not yet mainstream. What they all have in common is the prospect of trading insights that are only...
161 days ago,(2018/11/15)
Hirander Misra wrote a new blog post titled Blockchain, cryptocurrencies and ICOs – Where are we headed?
Being agile and adaptable in this fast-moving market is essential, and a single month in ‘blockchain-land’ is equivalent to 6-12 months in the traditional world. The technology is fundamentally game-changing and should be used to facilitate high impact change. Sometimes second-mover advantage is beneficial; learning from first-mover successes and mistakes allows us to optimise or design something much better. Think digital watches: the UK invented them, but the Japanese perfected them and by mass marketing the output, Casio was able to dominate the market globally. Of course,...
162 days ago,(2018/11/14)
Andrew Walton wrote a new blog post titled The Buy-side and Outsourced Trading in Europe
Buy-side firms can improve execution and save costs by outsourcing all, or parts, of their trading operations. Andrew Walton, head of European business at Tourmaline Partners, shares his experience and observations. For many investment firms, managing their trading infrastructure can be a costly and complex challenge. Experienced trading professionals must be recruited, technology needs to be maintained and updated and brokerage counterparties must be reviewed on a regular basis.  New regulatory requirements only add to the cost and compliance burden for buy-side managers.  For...
163 days ago,(2018/11/13)
Hirander Misra wrote a new blog post titled The Death of Exchange 1.0 and advent of Digital Exchange 2.0: more than just the matching engine
In order to generate development and innovative change, we must question and challenge what is already before us. It is not as simple as taking the next step up the ladder or adding to what you already have, it is about stripping a business model back to the basics, clarifying what you want to achieve and doing so by taking a completely different path. So what does this mean in the context of exchanges and financial market infrastructure? A good place to start is to learn from the past to see what might happen in the future: After the emergence of electronic markets, exchanges, for some...
164 days ago,(2018/11/12)
The Realization Group wrote a new blog post titled All on the Same Page? Effective Strategies for Successful Innovation in Capital Markets
Innovation within the capital markets sector remains one of the key factors in ensuring its continued resilience, ability to adapt to change and even its future growth. The G20 noted the importance of promoting entrepreneurship and innovation across countries within its ‘Core Values for Sustainable Economic Activity’, which it created in response to the 2008 financial crisis. Yet nearly a decade later, firms in the investment banking and asset management space still noticeably struggled to make the necessary changes to their existing systems in time for MiFID II, with many back...
164 days ago,(2018/11/12)
Wesley Cooper wrote a new blog post titled Data: Asset or Liability – regulatory compliance data innovation
In this series of blog posts, we explore how the next generation of intelligent regulatory reporting solutions are delivering insights far beyond their original purpose. This second feature in the series looks at the importance of managing data as an asset, and hidden risks that should be mitigated to prevent it becoming a liability. The wave of complex regulatory compliance requirements, combined with advancements in ‘big data’, has created an explosion of data that financial services firms collect, store and report. In our previous blog, we looked at how to maximise the data...
167 days ago,(2018/11/09)
Mark Montgomery wrote a new blog post titled Maximising double volume cap data
The introduction of the double volume cap (DVC) mechanism as part of MiFIR has heralded a new era in European equity trading, limiting for the first time the universe of securities that can be traded on dark pools. Nearly eight months on from the first DVC suspensions, we can begin to assess how the new regime is working and how the market is adapting. When it first kicked off the DVC framework in March 2018, the European Securities and Markets Authority (ESMA) acknowledged that data quality and completeness issues had delayed implementation by two months, but since then it has kept its...
167 days ago,(2018/11/09)
Steen Blaafalk wrote a new blog post titled Why regtech is key to scalability in financial services
The new era of regulatory requirements triggered by the global financial crisis presents the financial industry with many challenges. Regulation and technology are two of the most important mega-trends that have shifted the tectonic plates of global finance. In the wake of the financial crisis, authorities across the globe have introduced a wave of new, comprehensive and more prudent regulation. Banks must either adapt their operations and ride this wave of new regulation or try to patch together existing systems and workflows. The latter could work from a compliance point of view but the...
167 days ago,(2018/11/09)
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168 days ago,(2018/11/08)
Tom Fulford-Brown wrote a new blog post titled Singapore's thriving FinTech environment
BSO recently became a member of the Singapore FinTech Association, and the country’s third FinTech Festival next month (November) highlights why this makes perfect sense in such a thriving fintech environment. This year, there will be 60 finalists competing at the festival, selected from 500-plus applicant firms across 40 countries. Forward-looking regulator The Monetary Authority of Singapore (MAS) actively encourages fintech innovation, and has highlighted that more than half of the FinTech Festival finalists come from the Association of Southeast Asian Nations, thanks to the new...
169 days ago,(2018/11/07)
The Realization Group wrote a new blog post titled The Value in Being Heard
Introduction Artificial intelligence (AI) and robotic process automation (RPA) have the potential to significantly increase the efficiency of financial services organisations. Both use large data sets, which their algorithms and machine learning capabilities can process to aid decision-making. Additionally, the compliance requirements of securities regulation require more and more data to be captured across multiple disparate communications channels. What is the link between the two? How can new approaches to data capture, correlation, analysis and process automation turn tick-box...
175 days ago,(2018/11/01)
Akhil Shah wrote a new blog post titled Energy traders can reap the benefits of an eye in the sky
Picture the scene: A tropical storm has wended its way along the Gulf Coast of the United States, one of the more refinery-rich stretches of land in the developed world. Or imagine rumours are circulating of a build-up of troops in the Persian Gulf. Or perhaps an OPEC member has just announced a production cut but has not given details. Any of these developments has the potential to roil energy markets, and for a simple reason. They’re all extremely supply-sensitive pieces of information. But this kind of news brings a lot of uncertainty with it. How much supply are we actually talking...
176 days ago,(2018/10/31)
The Realization Group wrote a new blog post titled Roundtable report: Practical steps for successful innovation within Capital Markets
Roundtable discussion hosted by The Realization Group, led by Ascendant Strategy, TreoTrade and Nomura on 3 October, 2018 The importance of creating a culture of innovation has long been recognised in the capital markets industry, but why this can prove hard to achieve continues to be a matter of some debate. The reasons given for these difficulties can also be complex and seemingly insurmountable, from long procurement cycles through to lack of diversity within larger organisations – and everything inbetween. Yet instead of focusing only on the hurdles, it may now be time to embark on...
181 days ago,(2018/10/26)
Steve Barnes wrote a new blog post titled How to turn data into diamonds – regulatory compliance data innovation
In this series of blog posts, AQMetrics explore intelligent regulatory reporting solutions and how the next generation of  solutions are delivering insights far beyond their original purpose. This first feature in the series looks at the importance of data innovation, and the hidden value that can be realised from data assets. Changes to regulatory reporting regimes have focused attention on the process by which data is gathered. Distilling fund data into a format that can be used for regulatory reporting is a challenge for managers, particularly those whose funds are administered by...
182 days ago,(2018/10/25)
The Realization Group wrote a new blog post titled Capture, Correlate, Analyse: Deriving value from electronic communications data
In our latest Financial Markets Insights report, Dan Barnes and Mike O’Hara of The Realization Group explore the value that can be realised through the integration of electronic communications (eComms) data into the wider trading ecosystem. By moving from tactical compliance to strategic investment, firms can not only satisfy the regulators, but also boost the analytical capabilities of the front office; delivering better execution, greater trading signal analysis and more efficient business intelligence. In this report, Simon Hornibrook of Nomura; Paul Burleton of Lysis Financial;...
189 days ago,(2018/10/18)