MiFID II

Just 15% of financial firms are monitoring WhatsApp at all, despite rising levels of fines for communication monitoring failings, according to a report from SteelEye.

With the ESG-focused principles of MiFID II regulation coming into force, wealth management firms need to be prepared for its impact and how they can future-proof their investment processes.

Trade surveillance and market risk solution developer Eventus has named Scott Leader – former Workday executive director – as its new managing director, APAC.

Financial communication recording and compliance platform NICE has added Zoom capture to its compliance suite.

The European Securities and Markets Authority (ESMA) has issued a consultation on aspects of suitability requirements under the Markets in Financial Instruments Directive (MiFID II).

Environmental, Social, and Governance (ESG) is increasingly becoming a major talking point for financial institutions, but what does it mean for them?

The market opportunity for trade surveillance systems is steadily rising. A recent report from The Insight Partners asserted that the market will reach $2.7bn by 2028 – rising from $850m in 2019. Back in 2014, Travis Schwab sensed there would be growing demand for the sector and decided to capitalise on the gap in the market by founding Eventus Systems.

As investment into RegTech skyrockets in 2021, RegTech Analyst has named the 100 must know companies in the sector as we head into 2022.

The European Security and Markets Authority (ESMA) has invited firms to comment on its consultation paper seeking to make reporting requirements changes under MiFID II.

Elliptic, a cryptoasset risk management provider, has closed its Series C round on $60m, as it bolsters its market position.