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国际资讯监管与政策

FCA发布监管科技专属网站

11月1日,英国金融行为管理局(FCA)在其网站上发布了一篇有关使用科技提高监管报告水平,尤其是机器可执行的监管报告模式的新闻。

FCA表示,目前该机构的关注重点之一就是利用科技解决金融机构监管报告义务所面对的挑战。据了解,FCA已经携手英国央行一起探索怎样利用科技将监管、合规流程、公司政策和标准与公司的交易申请和数据库连接起来。

FCA认为,一旦这项实验取得成功,一个机器可读的监管环境将“彻底转变”金融服务界理解、解释和报告监管信息的做法。公司届时将可以直接将他们的监管要求与所持有的数据连接起来,而那些数据可以用来发展自动处理监管回馈。这对公司和监管者来说都有好处,因为它不仅改进了数据提交的准确性并降低成本,确保监管规定的改变能够得到快速落实,同时可以降低合规成本,降低入市壁垒增加竞争。

FCA正主持召开活动,旨在深化发展之前的监管科技项目。同时,它还将与英国央行一起举办一系列圆桌论坛,以便加强行业内部交流。所有研究成果将共享,以评估该领域科技潜力以及怎样在英国金融服务界落实。

了解FCA监管科技网站,请点击

On November 1, the UK Financial Conduct Authority (FCA) published a new page on its website on using technology to enhance regulatory reporting, with respect to model driven machine executable regulatory reporting.

The FCA explains that one of the key technology areas on which it is focusing is the development of solutions to the increasing challenges faced by financial institutions in implementing their regulatory reporting obligations. It is exploring, with the Bank of England (BoE), how technology can be used to link regulation, compliance procedures, and firms’ policies and standards, together with firms’ transactional applications and databases.

If successful, the FCA believes a machine readable regulatory environment could “transform and fundamentally change” how the financial services industry understands, interprets and then reports regulatory information. Firms would be able to map their regulatory requirements directly to the data that they hold, which would, in turn, create the potential for automated, straight-through-processing of regulatory returns.

In the FCA’s view, this would benefit both firms and regulators by improving the accuracy of data submissions and reducing their costs; ensuring that changes to regulatory requirements could be implemented more quickly; and potentially reducing compliance costs, thereby lowering barriers to entry and increasing competition.

The FCA is hosting events designed to build on previous regtech initiatives and, with the BoE, will engage more broadly with the industry through a series of roundtables. Their findings will be progressively shared to assess both the potential of this work and how it can be implemented across the UK financial services sector.

The website is available here.


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