Editor's pick
AI Expands Buy-Side Compliance Remit as Resources Remain Flat
Four in five respondents to a survey of US investment advisers use artificial intelligence, but many have yet to put testing, validation and third-party oversight behind that adoption. Around 60% of chief compliance officers also hold another executive role, so the added AI duties sit alongside their existing responsibilities. Amended Regulation S-P also requires advisers...
Top Blogs
AI May Well Be a Big Accelerator, But Let’s Not Forget the Destination
By Chris Livesey, Chief Executive of AutoRek Everyone’s racing to add AI to everything, but are we clear on the finishing line? Across the financial services software landscape, vendors and end-user customers are chasing a new goal: how fast they can AI-ify or agentify everything that moves to claim unique differentiation and plant a flag for their brand as a...
Industry Backs FCA AIFM Reform but Warns of Uneven Costs.
The Financial Conduct Authority (FCA) recently proposed the biggest overhaul of the UK alternative investment fund manager (AIFM) regime since 2013. The projected benefits will depend on whether greater proportionality can reduce compliance overhead without shifting costs to smaller managers. The proposals in CP 26/28 replace the current distinction between full-scope and sub-threshold AIFMs with...
UBS AML Enforcement Exposes Underlying Data Weaknesses
A coordinated US enforcement action against UBS Financial Services has exposed how incomplete data feeds, faulty system configuration and weak customer-risk controls can undermine an automated anti-money laundering (AML) programme. FINRA found that UBS failed to monitor adequately more than 60,000 foreign-currency wires worth over $10 billion between January 2019 and June 2023. The deficiencies...
Latest briefs
Bloomberg Vault Adds AI Models for Insider Dealing and Personal Trading Surveillance
Bloomberg has expanded Bloomberg Vault with two artificial intelligence models designed to identify electronic communications that may point to insider dealing or breaches of employee personal trading policies. The additions extend the platform’s surveillance coverage to two risk areas that can require compliance teams to examine communications alongside trading and account activity. The Insider Dealing…
Comply Adds Kalshi Data to Employee Trading Surveillance Platform
Comply is adding Kalshi contract-trading data to its compliance platform, allowing financial firms to monitor employees’ prediction-market activity alongside securities, futures, options, cryptoassets and other investments. The integration extends existing employee-trading controls to a market that may fall outside firms’ traditional personal account dealing programmes. Compliance teams will be able to configure monitoring rules and…
Fenergo Launches Fen-AI to Govern AI Across Client Lifecycle Management
Fenergo has launched Fen-AI, an orchestration platform designed to help financial institutions deploy AI across client lifecycle management while retaining human oversight, policy controls and an auditable record of decisions. The platform supports Fenergo’s KYRA family of AI agents, which can carry out tasks across client onboarding, periodic reviews, ongoing monitoring and material changes to…
FinScan Completes LSEG Validation for World-Check On Demand Integration
FinScan has completed LSEG Risk Intelligence’s technical validation process for its integration with World-Check On Demand. LSEG has designated the integration as ready to go to market. The integration gives financial institutions access to LSEG’s risk intelligence within FinScan’s anti-money laundering (AML) and sanctions-screening workflows. It is designed to reduce the operational work involved in…
FinregE Framework Links Early Regulatory Signals to Policy and Control Changes
FinregE has published a seven-step process for identifying emerging regulatory requirements and preparing operational changes before rules take effect. The framework, detailed in Regulatory Horizon Scanning: Proactive Compliance in 2026, addresses the “implementation lag” between an early policy signal and the changes required across products, budgets, policies and controls. FinregE argues that waiting until legislation…
Kyckr Revenue Grows 46% as Demand Rises for Live Registry Data
KYB data provider Kyckr has reported 46% revenue growth for the financial year ended June 2026, which it described as its strongest performance in two decades. The company attributes the increase to regulatory pressure in Australia and North America, where firms face growing scrutiny of the data supporting their compliance controls. Kyckr said regulated firms…
HACA Partners Selects Muinmos for Enhanced KYC/AML Capabilities
Luxembourg-based audit and consulting firm HACA Partners has selected Muinmos’ KYC and AML screening as it seeks to reduce manual processing and apply more consistent risk controls. The Luxembourg-based audit and consulting firm, which supports more than 500 clients operating internationally will use the technology for checks on its own clients, its clients’ customers and…
BridgePort Pilots Digital Asset Master Agreement to Streamline Off-Exchange Settlement Onboarding
Institutional digital-asset firms may be able to trade without placing assets directly on an exchange, but establishing the legal relationships behind that model can remain a lengthy process. BridgePort is seeking to reduce that friction with a common contractual framework for off-exchange settlement arrangements involving trading firms, custodians and execution venues. The company is piloting…
MAS Moves Agentic AI Governance From Model Oversight to Runtime Control
The Monetary Authority of Singapore (MAS) has published an industry white paper proposing a runtime governance framework for AI agents operating in financial services, marking a shift from static model oversight towards controls that operate at the point an autonomous system acts. The paper, Safeguards for Agentic Finance at Runtime (SAFR), was developed with financial…
Regnology to Acquire Fed Reporter
Regnology is moving to deepen its position in the U.S. regulatory reporting market through a planned acquisition of Fed Reporter, a U.S. provider of regulatory reporting solutions used by banks, credit unions and bank holding companies. The transaction would extend Regnology’s U.S. reach to more than 4,000 institutions, from global banks to community lenders, and…
AutoRek Announces Major Advancement to AutoRek ARIA as Demand for AI Driven Financial Controls Accelerates
AutoRek has updated its ARIA platform as firms continue to focus on reducing operational friction in reconciliation while maintaining auditability and control. The latest release centres on automating rule creation, shortening configuration timelines, and improving visibility into matching decisions – areas that have traditionally required significant manual intervention. The update introduces automated rule generation for…
Shield Extends Agentic Suite Into Governed Alert Closure
Shield has added two AI agents to AmplifAI, its agentic suite for digital communications surveillance and investigations, extending the platform’s focus from detection and investigation into alert resolution and language coverage. The new Alert Closure Agent is designed to assess flagged communications using message content, risk language and conversation context, and to close alerts where…
Trading Technologies Upgrades TT Trade Surveillance Platform with Market Replay Tool
Trading Technologies International (TT) has upgraded its TT Trade Surveillance platform, introducing a Market Replay tool and an enhanced enterprise case management user interface. The update improves the workflow, speed and scope of compliance investigations across equities, fixed income, foreign exchange, cryptocurrencies, futures and options. Live demonstrations of the system will begin tomorrow at the…
Sumsub Adds Agentic Compliance Configuration Through MCP Integration
Sumsub has launched a Model Context Protocol (MCP) integration and a suite of AI agent skills designed to let compliance teams use large language model-based agents to configure and manage verification workflows. The new capability allows teams to upload anti-money laundering (AML) policies or regulatory requirements to AI agents such as Claude, ChatGPT or other…
Shield adds Microsoft 365 Copilot & OCR to RegTech Surveillance Stack
Shield has expanded its communications surveillance platform to cover Microsoft 365 Copilot interactions and image-based content, addressing two areas where financial firms’ working practices have been moving faster than their compliance controls. The update adds a native Microsoft 365 Copilot connector and OCR text extraction for image attachments. Together, the capabilities bring employee prompts, AI-generated…
Latest people
Hawk Appoints NICE Actimize Veteran to Lead Revenue Strategy
Anti-financial crime technology provider Hawk, has appointed Eli Chamoun as President and Chief Revenue Officer to lead its revenue strategy as it seeks to expand adoption of its artificial intelligence technology among banks and payment companies. Chamoun will oversee Hawk’s global revenue strategy and operations, develop its go-to-market team and deepen relationships with banks, payment…
Former Bank of America MD, Andee Schneider Joins Qomply
Regulatory intelligence and reporting specialist Qomply has strengthened its senior leadership team with the appointment of Andee Schneider as Managing Director, North America, adding capital markets sales, execution and client advisory experience as the firm looks to expand its presence across the Americas and APAC. Schneider brings more than two decades of financial markets experience,…
Fenergo Names Lekshmi Nair as CRO
Client lifecycle management specialist Fenergo has appointed Lekshmi Nair as chief revenue officer to lead the global go-to-market organisation and commercial operations. Nair previously worked at Finastra, formerly Misys, where she held roles in software development, delivery, platform sales and enterprise leadership before serving as global chief revenue officer for lending. Based in London, Nair…
FinregE Appoints Paul Lyon to Lead Marketing and Communications
End-to-end regulatory operating system FinregE has appointed Paul Lyon as chief marketing and communications officer, creating a new executive role as the company looks to sharpen its market positioning during a period of growth. Based in London, Lyon will report to Rohini Gupta, chief executive officer, and lead FinregE’s communications, analyst relations, brand, marketing and…
Corlytics Appoints Lisa Miles-Heal as CEO to Drive Next Phase of Growth
Corlytics has appointed Lisa Miles-Heal as chief executive officer, effective June, as the Verdane-backed regulatory intelligence firm prepares for its next phase of international growth. Miles-Heal brings nearly two decades of executive experience in technology-led businesses. Most recently, she oversaw the transition of accounting compliance company Silverfin from a founder-led business into a Visma group…
Kalshi Names Sudhir Jain Compliance Chief as Prediction Markets Face Supervisory Scrutiny
Kalshi has appointed Sudhir Jain as chief compliance officer and head of regulatory affairs, adding derivatives-market supervisory experience as the prediction-market operator expands its institutional ambitions and faces a more contested regulatory environment. Jain joins from Patomak Global Partners, where he worked on derivatives, compliance and risk-management advisory matters after five years at the National…
Muinmos Adds Paul Ford as Investor and Board Advisor
Muinmos has appointed financial services entrepreneur Paul Ford as an investor and advisor to the Board, adding operational risk, RegTech and scaling experience as the firm looks to build out its AI-led compliance capabilities. Ford brings more than 25 years’ financial services and operational experience. He was Founder and CEO of Acin, the London-based RegTech…
CFTC Moves to Defend Federal Perimeter for Prediction Markets
The Commodity Futures Trading Commission (CFTC) has sued the State of Wisconsin after the state brought civil actions against Kalshi, Polymarket, Crypto.com, Robinhood and Coinbase over prediction market activity. The action, filed on 28 April 2026, extends a widening federal-state dispute over the regulatory treatment of event contracts. The CFTC argues that Congress gave the…
FIS and Anthropic Target AML Investigations with Agentic AI
FIS is working with Anthropic to bring agentic AI into banking operations, starting with a Financial Crimes AI Agent designed to support anti-money laundering investigations. The agent is intended to assemble evidence from bank systems, evaluate activity against known typologies and surface higher-risk cases for investigator review, with BMO and Amalgamated Bank among the first…
Eventus Names Cameron Routh CEO as Surveillance Vendor Prepares for Next Growth Phase
Eventus has appointed Cameron Routh as chief executive officer, placing a financial technology executive with more than two decades of experience in software and data businesses at the head of the trade surveillance and financial risk technology provider. Routh succeeds founder Travis Schwab, who has led Eventus for 11 years and overseen the development of…
DTCC Expands Board with Senior Market Structure, Treasury and Operations Leaders
The Depository Trust & Clearing Corporation (DTCC) has appointed four senior financial services executives to its Board of Directors, reinforcing governance oversight across market infrastructure, risk, and post-trade operations. The new appointees – Roland Chai (Nasdaq), Massimiliano Ciardi (Citadel), Stephen Hood (Marex), and Georges Lauchard (Barclays) – bring experience spanning exchange operations, treasury and funding,…
Funds-Axis Strengthens Operations as It Scales Internationally
Global investment manager RegTech provider Funds-Axis has appointed Chris Machin as Chief Operating Officer, a move that signals a shift from build-phase momentum to operational scale. The London-based regulatory technology and investment compliance specialist is positioning itself for disciplined international growth, with Machin tasked to lead the operational architecture behind that expansion. The firm describes…
UK Appoints Barclays Policy Chief Katharine Braddick as Banking Watchdog
Katharine Braddick will succeed Sam Woods when his term concludes in June 2026 as the next Deputy Governor for Prudential Regulation and Chief Executive of the Prudential Regulation Authority (PRA). The role carries direct responsibility for supervising banks, building societies, insurers and major investment firms. The role is also charged with shaping how prudential standards…
Leadership Change at OneTrust Signals Next Phase of AI-Ready Governance Strategy
Atlanta based regulatory solutions company OneTrust has appointed John Heyman as chief executive officer, marking a leadership transition as the company positions itself for its next phase of growth in data and AI governance. Founder Kabir Barday will remain involved in a strategic advisory capacity through his role on the board. The change follows what…
Kaizen RegTech Group Refines Leadership Roles to Support Continued Growth
Kaizen RegTech Group has adjusted leadership responsibilities within its existing structure as the business scales across regulatory reporting and related services. Dario Crispini remains Group Chief Executive Officer, retaining responsibility for overall strategy and growth, while continuing to lead regulatory reporting product development and innovation and staying closely engaged with clients and market initiatives. As…
Featured
FEATURED WEBINAR
Upcoming Webinar: The Next Compliance Frontier: Monitoring GenAI and Unstructured Comms Data
Date: 16 September 2026 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Generative AI is rapidly transforming how employees create, share, and interpret information. From internal copilots drafting client messages to AI tools summarising trading conversations or generating research notes, large language models are increasingly embedded in daily workflows across capital…
FEATURED EVENT
AI in Capital Markets Summit London
Now in its 3rd year, the AI in Capital Markets Summit returns with a focus on the practicalities of onboarding AI enterprise wide for business value creation. Whilst AI offers huge potential to revolutionise capital markets operations many are struggling to move beyond pilot phase to generate substantial value from AI.
FEATURED GUIDE
AI in Capital Markets Handbook 2026
AI adoption in capital markets has moved into a more disciplined phase. The priority is now controlled deployment: where AI can be used safely, where it can deliver measurable value, and how outputs can be governed, monitored and evidenced. The 2026 edition of the AI in Capital Markets Handbook examines how AI is being applied…
Top White Papers
From noise to knowledge: why financial AI needs trusted news
Decisions in financial markets are increasingly shaped by machines. Yet the information feeding those decisions is arriving in unprecedented volume, velocity and variety. As a result, the true differentiator is no longer access to more content, but access to news that is trusted, relevant and correct to the moment in time. With AI rapidly becoming...
The Future of AI in Compliance Recording
In an era of escalating regulatory pressure, financial institutions can leverage artificial intelligence (AI) and large language models (LLMs) to transform compliance from a cost burden into a strategic competitive advantage. These technologies, applied to sophisticated monitoring systems, generate structured, high-quality data at scale, converting what was once a static compliance archive into a source...
Reclaiming Value in a Shifting Legal Landscape: The 2025 Top 100 Settlements Analysis
While 2025 saw its challenges, the year ended on a high for securities litigation in the US marketplace, raising the prospect of an expanded rebound in 2026. The latter part of the year saw four settlements that exceeded $200million in value in addition to a single, significant settlement reaching $740million, providing a late-year boost to...
Events and webinars
Upcoming Webinar: The Next Compliance Frontier: Monitoring GenAI and Unstructured Comms Data
Date: 16 September 2026 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Generative AI is rapidly transforming how employees create, share, and interpret information. From internal copilots drafting client messages to AI tools summarising trading conversations or generating research notes, large language models are increasingly embedded in daily workflows across capital...
RegTech Summit London
Now in its 10th year, RegTech Summit London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to innovate the compliance function and response.
Find out more
RegTech Summit New York
Now in its 10th year, the RegTech Summit in New York will bring together the RegTech ecosystem to explore how the North American capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.
Find out moreAwards
RegTech Insight Awards Europe
Congratulations go out to this year’s RegTech Insight Awards Europe 2026 winners. These awards recognise excellence in trading solutions and services for capital markets and focus on vendors providing exceptional trading infrastructure, trading technology, and data solutions.
