Category: Regulatory compliance

Clash of the Titans - SARS vs Covid-19

Clash of titans insight thumbnail

I am writing this from my home in Hong Kong, not far away from the border of China and only 900 kilometers away from Wuhan, the initial epicenter of the...

Read more about 'Clash of the Titans - SARS vs Covid-19'...

Business Continuity, but not as we know it

Website thumbnail BCP

Pre COVID-19, Business Continuity Planning (‘BCP’) for the typical front-office employee generally meant an enforced annual trip to the Disaster Recovery (‘DR’) site.

Read more about 'Business Continuity, but not as we know it'...

The regulators’ dilemma

regulators dilemma thumbnail

The respective governments struggle to keep their societies working while at the same time balancing the consequences of the outbreak.

Read more about 'The regulators’ dilemma'...

Applying the brakes to a market in free fall

Circuit breakers website thumbnail

In recent weeks we have seen a continuous selloff in the stock market, triggered by real economic fears caused by the global Coronavirus (COVID-19) outbreak.

Read more about 'Applying the brakes to a market in free fall'...

BREXIT as the clock strikes 11pm - what’s next?

Brexit post itiviti

With the risk of the UK crashing out of the EU without a deal eliminated, Feb 1st will mean the start of a transition period of 11 months where everything...

Read more about 'BREXIT as the clock strikes 11pm - what’s next?'...

Periodic Auctions under ESMA scrutiny - regulatory challenges

Testing 1

This second article summarizes the key regulatory challenges raised by ESMA regarding periodic auctions.

Read more about 'Periodic Auctions under ESMA scrutiny - regulatory challenges'...

Periodic Auctions under ESMA scrutiny - market structure changes

Regulation 2

On June 11th 2019, the European Securities and Markets Authority (ESMA) published its final report on periodic auctions for equity instruments, in response to a call for evidence issued in...

Read more about 'Periodic Auctions under ESMA scrutiny - market structure changes'...

Robust scalable risk management is required at all stages of the equities trading lifecycle

Regulation 1

Regulators have laid down the law as to what they expect of broker-dealers in terms of pre-trade risk controls for both high and low touch trading.

Read more about 'Robust scalable risk management is required at all stages of the equities trading lifecycle'...

MiFID II: where are we now?

Jonas Lindqvist, Itiviti, talking about MiFID II

More than a year after the advent of MiFID II, we take a look at was has been achieved to date and what remains to be implemented and improved moving...

Read more about 'MiFID II: where are we now?'...

1 2 3 4