February 2017

ESMA issues Implementing Rules for Package Orders under MiFID II

The European Securities and Markets Authority (ESMA) has published today its final report on draft regulatory technical standards (RTS) regarding the treatment of package orders under the amended Markets in Financial Instruments Directive (MiFID II) and Regulation (MiFIR). This final report presents the revised draft RTS establishing a methodology for determining whether there is a liquid …

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Ethics of Finance and Innovation – A conversation with Wolfgang Achtner

The Ethics of Finance and Innovation is a conversation with thought leader Professor Wolfgang Achtner about the use of Big Data, the Future of Finance, what AI means for the concept of Free Will, and why Blockchain may hold the key to an essential problem of the banking industry. Sometimes it feels the world is …

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PSD2 and the risk and opportunities for Traditional Banks, FinTechs and Tech Giants (Part 2)

The revision of the Payment Services Directive aka PSD2 will change banking as we know it. It will increase competition and foster innovation and in the first part of our in-depth analysis we provided an overview of the new rules as well as the changes it is going to bring. Now, in the second part, …

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SEC Issues Guidance Update and Investor Bulletin on Robo-Advisers

The Securities and Exchange Commission today published information and guidance for investors and the financial services industry on the fast-growing use of robo-advisers, which are registered investment advisers that use computer algorithms to provide investment advisory services online with often limited human interaction. Because of the unique issues raised by robo-advisers, the Commission’s Division of …

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PSD2 and the risk and opportunities for Traditional Banks, FinTechs and Tech Giants (Part 1)

The revision of the Payment Services Directive aka PSD2 will change banking as we know it. It will increase competition and foster innovation, but with less than a year remaining until its start date, we look at what it actually means for incumbent payment services providers like traditional banks and disruptors such as FinTechs and …

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EBA publishes long awaited RTS on strong customer authentication and common and secure communication

The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) on strong customer authentication and common and secure communication. These RTS, which were mandated under the revised Payment Services Directive (PSD2) and developed in close cooperation with the European Central Bank (ECB), pave the way for an open and secure market …

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International regulators publish statements on variation margin exchange

The European Supervisory Authorities (ESAs) have published a statement today in relation to Variation margin exchange under the EMIR RTS on OTC derivatives. According to the statement, the ESAs have been made aware of operational challenges in meeting the deadline of 1 March 2017 for exchanging variation margin. Based on the material presented to the …

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SEC hosts Crowdfunding Dialogue

The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based crowdfunding on various market participants. The Commission’s Division of Economic and Risk Analysis is partnering with NYU’s Salomon Center for the Study of Financial Institutions to bring together regulators, practitioners, and academics for the …

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European Regulators warn on money laundering and terrorist financing risks affecting the EU financial sector

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) published a Joint Opinion addressed to the European Commission on the risks of money laundering (ML) and terrorist financing (TF) affecting the European Union’s financial sector. This Opinion will contribute to the European Commission’s risk assessment work as well as that of the ESAs …

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EBA consults on procedures for complaints of alleged infringements of the PSD2

The European Banking Authority (EBA) launched today a public consultation on its draft Guidelines on the complaints procedures to be taken into consideration by competent authorities (CAs) to ensure and monitor effective compliance by payment service providers (PSPs) of the revised Payment Services Directive (PSD2). These draft Guidelines are part of the EBA’s work to …

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