Cutting through the confusion of financial regulation

Cutting through the confusion of financial regulation

Posted on May 20, 2011 0 Comments

Richard BentleyGovernments around the world seem to view increasing regulation as a way to control the financial markets and avoid future crises. But agreeing and implementing new regulation takes time, and when the markets move as fast as they do it can seem like a constant game of cat and mouse as the market tries to keep up with regulation, and regulators try to keep up with the market.

With changes in regulatory approach taking place with Dodd-Frank in the US, EMIR and MIFID II in the Europe and changes to the role and remit of the FSA expected in the UK, it can be hard for platforms, traders and other market participants to know what to prioritise to stay they right side of the law. In this short series of video interviews, we ask experts in market surveillance for their opinions on:

  • What’s causing confusion around financial regulation
  • How traders can prepare for changes in the international regulatory approach
  • How regulatory changes will affect traders
  • And how they can use technology to prepare for regulatory change, looking specifically at how market surveillance technology can help.

We also speak to James Godwin and Tony Harrop at PLUS Stock Exchange about how they are addressing these issues, and how they are using the Progress Apama solution to remain compliant.

Video 1: Why is there so much confusion around regulation?

At the recent TradeTech event in London, voices from around the world echoes the same concerns: with so many changes in regulation, especially for those operating internationally, it is hard to know what to prioritise, how to prepare and where to start. In short, there is a lot of confusion in the marketplace.

In this video we speak to:

  • Dan Hubscher, Capital Markets industry marketing manager, Progress Software
  • James Godwin, director of regulation, PLUS Stock Exchange
  • Dave Tolladay, director, Alerts4 Financial Markets

Gauging their opinions on this issue, we look at where the confusion is coming from and how market participants might begin to address it.


The Progress Team

View all posts from The Progress Team on the Progress blog. Connect with us about all things application development and deployment, data integration and digital business.


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