Archive for January 2021
What will the big RegTech trends of 2021 be?
As we say goodbye to 2020, it is time to look ahead to what 2021 will bring for the world of compliance and RegTech. The world is not going to forget 2020 anytime soon. It was a tough year for many people and companies around the world. Financial institutions had to dramatically change their services…
Read MoreUK FCA Issues a Statement on Regulatory Permissions
We are very excited and pleased to see the UK FCA issuing a statement on Regulatory Permissions and asking firms (and other regulated firms from outside the UK) to regularly review their regulatory permissions. I wrote an article about this very issue in the RegTech Book titled Passporting in the EU – Is an Opportunity also a Problem.…
Read MoreHow UK and Third Country Financial Institutions Relying on the Reverse Solicitation Regime under MiFID II Can Service Clients in EU Member States
Are you a UK or Third Country financial institution relying on the Reverse Solicitation Regime under MiFID II (i.e. at the client’s own exclusive initiative) to continue to lawfully service some clients in the EU Member States? Are you aware that some of the EU Member States have expressly disallowed reverse solicitation as a method…
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