Jan 10, 2019 | Article
Do a Google search for “culture change” and check a handful of the 2.58 billion results. Just about anywhere you click, you will find a series of steps complete with very nice graphics that usually begin with steps such as “clarify values”, “begin with a vision” and...
Jan 1, 2019 | Article
As someone with a penchant for engineering, I have always looked for ways of making working processes more efficient and outcomes more consistent. Being a lawyer, I have found plenty of room for improvement in the legal and compliance fields. In the aftermath of the...
Apr 20, 2018 | Article
Rethinking the role of bots in regulatory compliance It’s time to rethink regulatory compliance – and what a bot does. Call us “old school” or “geeks”, but when someone tells us that car factories use a lot of robots to achieve their incredible output and quality...
Jun 8, 2017 | Newsbrief
A number of provisions in MiFID II and MiFIR (which, from now refer to jointly as “MiFID II”), apply to non-EU firms (referred to in EU regulatory parlance as third country firms) in different ways, depending on a number of circumstances. Today we will talk about how...
Feb 15, 2017 | Newsbrief
The US Commodity Futures Trading Commission issued on Monday no-action letter 17-11, granting swap dealers time-limited relief from compliance with the obligation to post and collect variation margin from their OTC swaps counterparties. Note however that no-action...
