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This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.
In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short sale data from which is in response to Section 929X of the Dodd-Frank Wall Street Reform...
On 22 June, the SEC’s Investor Advisory Committee (IAC) held a public meeting (13D/G ~3:09 mark) which included a discussion on the proposed amendments to the 13D/G filings. We’re all familiar with t...
The lending universe heavily relies on credit data in assessing an individual's creditworthiness. This information is collected and analysed by CRAs, like Equifax, TransUnion, and Experian, generating...
Most regulatory activity for foreign direct investment in this first half of 2023 has been focused on issuing consultations for proposed changes to existing laws. Several countries issuing consultatio...
Investment firms have very different business models and risk profiles to credit institutions. They facilitate savings and investment flows by providing professional services such as investment advice...
In today's financial landscape, fintechs, banks and other lenders need to make sound credit decisions in order to stay afloat. And one of the most important factors in making accurate credit decisions...
Financial institutions everywhere are still wrangling with the issues of vishing and smishing, the identifiable code words for scam phone calls and text messages. According to the Crime Survey for Eng...
As the first quarter of 2023 draws to a close, Financial Services Institutions (FSIs) are one step closer to needing to demonstrate compliance with the Financial Conduct Authority’s (FCA) Consumer Dut...
Keeping up with regulations is one of the toughest challenges facing the financial service sector. That’s why the FCA is prioritising data and innovation as a key feature of its Business Plan 2022/23...
There’s been a deluge of press about the collapse of Adani Group after a report from Hindenburg Research which accuses Adani Group of: stock manipulation, improper use of offshore tax havens to hide t...
For Banking and Finance, adopting a multi-bureau credit data strategy is often dismissed as “too hard to switch”, “too expensive” or “not important enough”, but this is set to change. The FCA recently...
It was a busy fourth quarter for regulations concerning foreign direct investment. It seems that not all were watching the World Cup. Several jurisdictions issued consultations concerning qualified ho...