MiFID II

MiFID II

Just 15% of financial firms monitor WhatsApp. despite rising fines for communication monitoring failings

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.

How wealth managers can prepare for MiFID II ESG update

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 RegTech Eventus names new managing director in APAC

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

NICE add Zoom video communication compliance tool

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

ESMA issues consultation on MIFID II suitability guidelines

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).

What does ESG mean for financial institutions?

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

Why Eventus Systems is a trade surveillance pioneer

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.

Fifth annual RegTech100 lists the companies compliance teams must know in 2022

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

ESMA publishes paper setting out plans to change MiFID II reporting requirements

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 to help banks adopt crypto safely with Series C backing

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

Download the FREE RegTech100 report

FREE

Download the RegTech100 report for 2023 with details on each solution

Essential training, knowledge and forward-thinking in RegTech

Enroll today and get 20% OFF the Professional RegTech Certificate

50,000+ RegTech leaders get exclusive industry stories delivered every week