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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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Karen Hsu CMO at Appdome

BSA Compliance and FFIEC Examinations for Mobile Apps

Thanks in large part to the global pandemic, consumers are increasingly turning to mobile apps to manage their finances, payments and transactions. In fact, 58% of mobile consumers report using and downloading more mobile apps and buying more products and services on them since the COVID-19 pandemic started, according to the Appdome 2021 Global M...

30 September 2021 /security /regulation

Retired Member

How Financial Institutions Can Fight Money Laundering in a Disrupted Global Environment

The disruption and uncertainty created by COVID-19 has slowed business execution across all aspects of businesses. Anti-financial crime and compliance functions are no exception. However, the challenges and pressures of fighting money laundering and other financial crimes have not eased. Instead, the current environment is making the need to drive...

30 September 2021 /crime /covid-19

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

Slow Third Quarter for Foreign Direct Investment Changes

As expected, it’s been a slow third quarter for changes to foreign direct investment (FDI). Following on from my last update, we’ll start in the AsiaPac region and move westward. Australia has been evaluating the reforms to foreign direct investment that commenced in beginning of the year. The Treasury is evaluating whether these reforms have stru...

24 September 2021 /regulation /markets

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

Around the World of Foreign Direct Investment

Just coming up for some air, having had a busy first half to 2021 and realizing that my update on foreign direct investment is long overdue. Let’s not waste any time because there’s plenty to report since my end of year 2020 roundup. Early in the year, Germany issued a consultation to amend its FDI regime and made the following effective 1 May 20...

14 July 2021 /regulation /markets

Nick Green Director at Purple Patch Broking Ltd

A quick look at the data requirements for the 6th Anti-Money Laundering Directive 6AMLD

6AMLD: A quick look at the data requirements for the 6th Anti-Money Laundering Directive (6AMLD) Anti-Money Laundering (AML) is one of the most intense areas of financial regulation. With the development of money laundering crimes constantly evolving, the steps firms take to prevent these crimes are often insufficient. With the 6th Anti-Money La...

09 April 2021 /regulation /retail

Maximilian Dyck

Automating regulatory reporting - the case of IFR

Automation technology has changed the world in more ways than one. Smart phones can recommend music choices based on listening patterns, while self-driving cars are becoming reality. Better automation can also significantly transform supervision and regulatory reporting at financial institutions. With the regulatory burden increasing, new technolo...

26 March 2021 /regulation

Corinne Jones Marketing Manager at Suade Labs

Operational Risk: The Tech Solution

Dr Maximillian Dyck, Paralegal, Suade Labs COVID-19 has brought sound operational risk practices into focus around the world of business. Operational risk is the risk of loss from failures in internal processes. As COVID-19 disrupted our day-to-day lives, businesses closed their offices. Collaboration among employees suddenly became a challenge ...

08 March 2021 /regulation /covid-19

John Bertrand MD at Tec 8 Limited

A Rude Awakening: fraudsters are now fearless

Faster payments is the fraudsters’ preferred method of payment as the money arrives almost immediately in the payee’s account. To receive that payment therefore, the fraudster has to open a bank account. The current dysfunctionality is each bank holds the client’s information in confidence and does not share insights on risk on that account to oth...

08 March 2021 /payments /crime

Alan Blanchard Country Head UK at Apiax

Cross-border banking in the digital age

The legal and reputational risks associated with providing cross-border financial services have risen sharply in recent years. Current national lockdowns and travel restrictions, alongside major regulatory upheaval, such as Brexit, are only adding to the challenges facing global banks. With bankers, wealth managers, asset managers and other financ...

04 March 2021 /regulation /wealth

Garima Chaudhary Head of Fin. Crime Solution Consulting at Oracle

Fight Money Launderers and Protect Wildlife

Money Laundering and Its Impact on Wildlife Every year, the illegal wildlife trade—which includes the smuggling, poaching, capture, and collection of endangered species and protected wildlife—threatens many animal species with extinction. Demand for rhino horn—which is more expensive than gold—resulted in the extinction of Africa’s western black r...

20 January 2021 /regulation /crime