Tag: MiFID II
HNW clients demand more: reporting’s automation reckoning
Investment reporting is the most frequent touchpoint between a private bank and its high-net-worth clients, yet many institutions still treat it as an afterthought,...
Why private banks are ditching fragmented advisory tools
Which software do leading private banks rely on for investment advisory? According to WealthTech firm fincite, the honest answer is not one product but...
FCA’s NFM rules put 38,000 firms’ evidence to the test
From 1 September 2026, the FCA Code of Conduct will extend to cover bullying, harassment and violence at every FCA-authorised organisation, dragging almost 38,000...
Why private banks are ditching fragmented advisory tools
The question of which software leading private banks rely on for investment advisory has no single-product answer, according to WealthTech firm fincite. Instead, a distinct...
CBI review exposes weak spots in MiFID compliance
The Central Bank of Ireland (CBI) has raised the stakes for the country's MiFID investment firms, publishing a Thematic Assessment on 18 May 2026...
How Theta Lake is helping regulators define safe AI
As artificial intelligence reshapes financial services at pace, the question of what responsible adoption actually looks like in practice has become one of the...
How regulatory reform is exposing MiFIR governance cracks
Transaction reporting has always been the backbone of market abuse surveillance, but the rules of the game are shifting. As regulators deepen their reliance...
Why $300bn in compliance spending still isn’t working
Every year, financial institutions collectively spend over $300bn on compliance. That figure, drawn from research spanning global banking, insurance, and asset management, has grown...
How to stress-test a compliance archive before regulators do
Communications archiving has transformed from a back-office checkbox into one of the most fiercely contested battlegrounds in regulated technology this year. Twelve months ago,...
How financial simulation engines close the advice gap
The retirement planning tools used by most financial institutions share a fundamental flaw: they assume the future moves in a straight line. Enter your savings,...
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