Category Archives: Risk / Regulation

Two Important Regtech Trends That Will Shape The Future

A leading Private Equity firm approached me to share my insight on the strategic trends and commercial opportunities that are driving the regtech sector. Regtech is a sub-set of fintech that focuses on the use of new technologies and innovation to … Continue reading

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Banking As A Utility Changes Everything

In today’s highly competitive landscape, banks are facing an ever demanding challenge from an increasing cost base and declining revenues, coupled with rising compliance costs and capital requirements. At the same time, increasing customer demands, internal pressures to identify new … Continue reading

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Is Risk Depleting Your Capital ?

 In today’s highly regulated environment, many organisations are being adversely impacted with the increasing regulatory burden depleting their economic capital. For every pound spent on regulation, there is a direct reduction in the amount of capital available for the front … Continue reading

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Reinforce Control & Command (Part 3)

As the third post in the series on Targeting a New Operating Model, in this article I will discuss Principle 3 – To Reinforce Control and Command. Many corporations are inhibited in their ability to fully grasp their risk exposure … Continue reading

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Flash Crash : Equity Plunge

The recent plunge in equity markets has placed high frequency trading platforms under fire from both regulators and political administrations on both sides of the Atlantic. At one point last week, the Dow Jones industrial average dropped nearly 1000 points … Continue reading

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Exchange Independence

Over the last 100 years, exchanges have continued to provide a key service in the form of price discover, that is matching buyers and sellers and ultimately discovering the price that a trade will take place. The price discovery process … Continue reading

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Risk Management – Looking Ahead

Flaws in risk management have been stated as the major cause of the credit crunch. A recent S& P Survey found that less than 2% of fund managers have adequate systems to manage risk, or in other words, 98% of … Continue reading

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Market Evolution – Post MiFID

European Capital Markets Institute (ECMI) made an interesting presentation on how the Financial Markets have evolved since the introduction of the Market in Financial Instruments Directive (MiFID). The pan European MiFID directive was introduced on 1st November 2007 and had … Continue reading

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