Tag: MiFID II

Many asset managers remain shackled by outdated systems, despite rising client expectations and stricter regulatory frameworks.

The introduction of CRR III and ongoing MiFID II requirements is raising the regulatory bar for banks, asset managers, and real estate professionals. While these rules add complexity—from stricter capital requirements to extensive documentation—they also open the door to modernising outdated processes through digitalisation.

The European Securities and Markets Authority (ESMA) has finalised two key regulatory updates that will significantly impact investment firms and asset managers. These changes refine how firms approach order execution and manage research payments under MiFID II.

In today’s financial services landscape, records management has become a complex compliance issue that firms can no longer afford to overlook. According to Corlytics,...

Financial firms relying on call recording for compliance, security, and operational insights are facing a critical deadline. Nice Trading Recording (NTR) systems will reach end-of-life (EOL) in September, putting organisations at risk of losing key data, breaching compliance requirements, and incurring greater costs without urgent action.

In the ever-evolving landscape of financial regulation, staying compliant while efficiently managing risks presents significant challenges. According to Opoint, the burgeoning sector of regulatory...

In the current geopolitical climate, the regulatory landscapes in the EU and US are increasingly focused on the management of communication data and record-keeping.

The RegTech sector has gained significant traction in the financial industry over the past few years, with global adoption accelerating. According to market projections, the RegTech market is expected to hit $25.19bn by 2028, driven by financial institutions’ need to navigate mounting regulatory pressures.

In today's fast-paced digital landscape, financial services organisations face the dual challenge of maintaining regulatory compliance while ensuring efficient communication. The integration of Theta...

Never before has the need for global regulatory compliance been so critical, with companies operating across international borders and facing a labyrinth of diverse regulatory frameworks. This comprehensive guide explores what global regulatory compliance entails, its significance, and the main compliance categories.