- The Vanishing Supervisor
25 January 2015
This Article begins with two stories that are emblematic of related trends in broker-dealers: the importance of compliance officers and the significance of technology in the oversight of brokers and…
- Capital Market Supervision and Investor Protection: Romania in the European Context
18 December 2013
The core aim of this article is to give an overview of the domestic public supervision of securities markets in Romania and in the European Union in order to understand the role of Romania in the…
- Third Country CCP Supervision as a Catalyst for More Centralized EU CCP Supervision?
20 November 2025
In early 2022, a UK CCP canceled some $4 billion of transactions in the war-affected nickel market, triggering outrage from market participants that were in the money. The ‘nickel debacle’…
- Artificial Intelligence in Capital Markets: A Legal Scholar’s Response to the IOSCO Consultation Report
Report · 1 October 2025
This response to IOSCO’s 2025 Consultation Report on Artificial Intelligence in Capital Markets offers a detailed legal and interdisciplinary analysis of the regulatory, supervisory, and governance…
- Machine Learning, Market Manipulation and Collusion on Capital Markets: Why the "Black Box" Matters
Report · 20 August 2025
This Article offers a novel perspective on the implications of increasingly autonomous and “black box” algorithms, within the ramification of algorithmic trading, for the integrity of capital…
- AI-driven Market Manipulation and Limits of the EU law enforcement regime to credible deterrence
Report · 6 August 2025
in many other sectors of EU economies, ‘Artificial Intelligence’ (AI) has entered the scene of the financial services industry as a game-changer. A growing number of investment firms have been…
- An In-Depth Analysis of Cryptocurrencies and Central Bank Digital Currencies Under Nigeria's Investments and Securities Act 2025
Report · 20 July 2025
This article examines the evolving landscape of digital assets in Nigeria. It focuses on private cryptocurrencies and the state-issued Central Bank Digital Currency (that is, the eNaira), within the…
- The Regulation of AI Trading from an AI Life Cycle Perspective
Report · 5 July 2025
mong innovative technologies, Artificial Intelligence (AI) is often avouched as the game changer in the provision of financial services. In this regard, the algorithmic trading domain is no…
- Access to Finance for Artificial Intelligence Regulation in the Financial Services Industry
Report · 19 June 2025
This paper discusses the design of the legal and regulatory framework for using artificial intelligence (AI) in financial services markets to enhance access to finance (financial inclusion). The…
- The Algorithmic Future of EU Market Conduct Supervision: A Preliminary Check
Report · 21 May 2025
Technological innovation, such as advancements in Artificial Intelligence (AI) within the ramification of algorithmic trading, has been shaping the organisation and operation of global capital…
- Does the 'Wirecard AG' Case Address FinTech Crises?
14 May 2025
This paper analyzes the Wirecard AG case from a digital finance perspective. The relatively low pace of digital transformation of financial supervisors and the high speed of advancements in…
- ResTech and the Resolution of Critical Financial Infrastructures: An Application to Central Counterparties
Report · 8 August 2025
This paper analyses the potential of resolution technology (ResTech) as a strategic tool for improving the planning, execution, and monitoring of central counterparty (CCP) resolution processes.…
- Implications of Germany’s Electronic Securities Act for Supervisory Technology
Report · 8 November 2021
Digital transformation requires a holistic approach; every step in a transformation should ultimately contribute to a big picture reflecting an acceptable balance among digital blocks and pixels.…
- Implications of Germany’s Draft Electronic Securities Regulation for RegTech and SupTech
Report · 4 April 2025
This paper documents implications of Germany’s draft regulation on electronic securities for regtech and suptech. Regulation of electronic securities or a dematerialized system should not only serve…
- FSCA publishes Its Regulatory Strategy for 2025 - 2028
News · 6 May 2025
The Financial Sector Conduct Authority (FSCA) has launched its Regulatory Strategy for 2025–2028, reaffirming its commitment to fair outcomes for customers, tackling misconduct, promoting innovation…
- Data lakehouse architecture (Banco de España BigCIR Project)
Solution · 1 June 2023
As part of its 2020‑2024 strategic plan, Banco de España redesigned its information management processes, moving from siloed systems and ageing architecture to a modern data lakehouse built on…
- NLP-based Decision Support System for Examination of Eligibility Criteria from Securities Prospectuses at the German Central Bank
Solution, Report · 9 February 2023
As part of its digitisation initiative, the Deutsche Bundesbank is investigating the use of Natural Language Processing to support automated decision-making on the eligibility of securities…
- From Maps to Apps: the Power of Machine Learning and Artificial Intelligence for Regulators
Speech · 19 October 2017
The FCA's "From Maps to Apps" speech posits that the regulatory function is undergoing a fundamental shift, moving from traditional, two-dimensional regulation (the "map") to multi-dimensional data…
- Transforming the financial services sector in Africa with 4IR technologies
Blog · 22 November 2024
This article highlights Africa's leadership in the Fourth Industrial Revolution (4IR), specifically within the financial services sector, where the continent accounts for half of the world's mobile…
- Can Antitrust Keep Up?: Competition policy in high-tech markets
Report · 1 December 2001
The Microsoft antitrust case of 2001 marked a pivotal moment in American legal history, forcing a reconciliation between century-old competition laws and the lightning-fast evolution of…
- The UK Financial Conduct Authority and the US Securities and Exchange Commission sign updated supervisory cooperation arrangements
News · 29 March 2019
In early 2019, the FCA and the US SEC proactively updated two critical Memoranda of Understanding (MoUs) to ensure that the multi-billion dollar financial services trade between the UK and the US…
- FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
News · 13 February 2013
In 2013, the Financial Services Authority (FSA) published the findings of a major mystery shopping exercise conducted across the retail banking sector to evaluate the quality of lump-sum investment…
- FCA opens discussion on regulatory approach to open-ended funds investing in illiquid assets
News · 8 February 2017
In early 2017, the FCA published a discussion paper addressing the structural challenges of open-ended funds that invest in illiquid assets, such as real estate, infrastructure, and unlisted…
- FCA appoints executive directors to co-lead Enforcement and Market Oversight
News · 23 March 2023
The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors to lead its Enforcement and Market Oversight division. This strategic leadership…
Showing 337–360 of 437 resources.