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Financial Services Regulation

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

originally founded 01 Jul 2010

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Domenico Scaffidi Payments Business Development Director at Volante Technologies

Behind the scenes of the Migration of the SEPA payment schemes to the 2019 version of ISO 20022 post

Let’s start saying veterans like me haven’t been surprised that much reading the EPC bulletin on SEPA Migration to the 2019 version of ISO 20022, announcing the decision to postpone the go live. People like me with grey hair can’t forget the time when SEPA went live, where for almost one week no one of us left our desk in the office, trying to fix...

08 December 2023 /payments /regulation

Mireia Tomàs Marketing Manager at Triple

PSD3: What Is It and What Does It Affect?

PSD3, the anticipated upgrade to PSD2, emerged in late 2018, marking a regulatory stride five years after PSD2's introduction. The renewed Payment Services Directive aims to encompass a broader scope than its predecessor, reflecting the ever-evolving landscape of electronic payments and the entrance of new providers offering open banking services....

22 November 2023 /regulation

Mireia Tomàs Marketing Manager at Triple

Enriched payment data: Exploring the AN 4569

Data is one of the most valuable assets, transforming industries in unprecedented ways. Among these industries, are finance and payments where data plays a critical role. This blog post will discover the new Mastercard Mandate and its implications for banks and fintech companies. What is AN 4569 Revised Standards? When we talk about AN 4569 we are...

20 November 2023 /regulation

Robert Houghton Founder at Insightful Technology

Six steps to ensure compliance in a work-anywhere world

The battle about operating at home, in the office or other locations continues to rage in financial services. Yet in many ways, the debate is irrelevant. The genie is out of the bottle. Ignoring it – even if very few people work from home in an organisation – simply increases risk. This stems from regulators’ calls for a level playing field acros...

17 November 2023 /regulation /people

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

SEC Adopts Short Selling Reporting Rule 13f-2

In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short sale data from which is in response to Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires the Commission to prescribe rules to make certain short sale related data publicly available. Until now,...

17 October 2023 /regulation /markets

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Stepping Closer to a SEC Decision on 13D/G

On 22 June, the SEC’s Investor Advisory Committee (IAC) held a public meeting (13D/G ~3:09 mark) which included a discussion on the proposed amendments to the 13D/G filings. We’re all familiar with these regulations and the proposed amendments which were presented in 2022 so I will not bore you with those details. Having only one abstention vote (...

11 July 2023 /regulation /markets

Nick Green Director at Purple Patch Broking Ltd

Choosing between single or multiple credit bureaus: How do lenders decide

The lending universe heavily relies on credit data in assessing an individual's creditworthiness. This information is collected and analysed by CRAs, like Equifax, TransUnion, and Experian, generating credit scores that guide lenders in their decision-making process. Nevertheless, a critical choice confronts lenders: should they depend on a single...

26 June 2023 /regulation /retail

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

First Half Catch-up on Foreign Direct Investment

Most regulatory activity for foreign direct investment in this first half of 2023 has been focused on issuing consultations for proposed changes to existing laws. Several countries issuing consultations in the first 6 months of the year include: Australia: issued a consultation in March as part of its foreign investment reforms which resulted in ...

06 June 2023 /regulation /markets

Mete Feridun Chair at EMU Centre for Financial Regulation and Risk

In what aspects do the UK and EU investment firm prudential regimes diverge?

Investment firms have very different business models and risk profiles to credit institutions. They facilitate savings and investment flows by providing professional services such as investment advice, portfolio management, trading in financial instruments and fund raising for companies. As they do not accept deposits or provide loans, they are ge...

18 May 2023 /regulation /markets

Nick Green Director at Purple Patch Broking Ltd

The importance of high-quality data for risk decisions

In today's financial landscape, fintechs, banks and other lenders need to make sound credit decisions in order to stay afloat. And one of the most important factors in making accurate credit decisions is having high-quality data. But if your data is incomplete, outdated, or not compliant, you won’t be able to use it to make the right risk decisions...

20 April 2023 /regulation /retail