0 - 2018 - Planet Compliance

CFTC Proposes Rule to Reduce Regulatory Burdens for U.S. Market Participants

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The Commodity Futures Trading Commission (CFTC) has approved a proposed rule to reduce regulatory burdens for U.S. market participants in order to promote economic growth and job creation, by bringing certain CFTC requirements in line with other U.S. regulators and is seeking public comments on the proposal. “For more than a century, U.S. businesses have …

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Do Banks Comply with MiFID II? – Insights from the German Regulator

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Today, it’s been 133 days that MiFID II has become applicable. Time to take stock and have a first look at MiFID II compliance – Do financial institutions follow the new rules? What are the stumbling blocks? And where do they need to improve? It is indeed early for a conclusive picture, but the outcome …

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International watchdog outlines key challenges facing securities regulators

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Members of the International Organization of Securities Commissions (IOSCO) met at the organization´s 43rd Annual Conference in Budapest this week to discuss and address issues facing securities market regulators and supervisors today. In their meetings, the IOSCO Board, IOSCO´s Growth and Emerging Markets (GEM) Committee, the four Regional Committees and the Affiliate Members Consultative Committee …

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The definitive guide to LegalTech – the PlanetCompliance LegalTech Directory!

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Welcome to the PlanetCompliance LegalTech Directory! The legal industry is getting transformed in a way never seen before. Clever start-ups and established players look at every aspect of the legal profession and develop solutions to digitalise and automate processes and services. Technology has for a long time played an important role in the life of …

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How Financial Regulators Steal Your Personal Data and Take Your Money

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Now, come, you didn’t really believe that a financial regulator would steal our personal data and money, did you? But before you click away, stay with us for a little longer and continue reading because there is an interesting story behind the flashy headline. It’s the story about what fraudsters do to steal personal data …

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What the heck is LegalTech – An introduction to and overview of the technology disrupting the legal profession

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As part of our series that explores the different facet of FinTech and explain what the single buzzwords mean, we obviously need to touch upon the fields that are extremely relevant to the compliance and legal officers and their daily life at financial institutions like RegTech and #LegalTech (aka LawTech). Legal Technology is not a …

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Crypto scams or with great power comes great responsibility

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f you’re a fan of the friendly neighbourhood Spider-Man, you might know the expression. When Peter Parker, the boy/man behind the mask, gets bitten by a spider and gets all these super powers, he is reminded by his uncle that he should use these to help people and fight evil as nothing in life comes …

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