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The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Author: Rollings Nicole

Nine Reasons Advisors & Wealth Managers should Download this Essential AI Compliance Report

In today’s complex and evolving compliance landscape, advisory and wealth management firms are navigating a critical crossroads. The rapid emergence of AI technologies, particularly generative AI (GenAI) offers both unprecedented opportunities and complex challenges, reshaping how compliance teams operate. The Saifr commissioned survey and report, “From Caution to Action: How Advisors are Integrating AI in...

Broadridge Unveils AI-Powered Algorithm Insights Service for NYFIX

Broadridge Financial Solutions has introduced an AI-driven algorithm insights service for its NYFIX network, aimed at enhancing trading accuracy and reducing costs for buy-side firms. The new service leverages real-time liquidity mapping to help asset managers, hedge funds, and other institutional traders optimise their algorithmic trading strategies and improve performance. The solution, the first of...

SmartStream Chief Jaffer Sees Rapid Change in Year at Helm

Just over a year into his tenure as chief executive of financial data automation provider SmartStream, Akber Jaffer finds himself surveying a data industry that’s changed enormously over his short time at the UK-based company. Chat GPT was a year old when he took on his new role and the artificial intelligence (AI) technology’s revolutionary...

The Data Year Ahead: AI Reality Check and New Skills Needed

If 2024 was the year when artificial intelligence (AI) came to the fore in data management, the next 12 months could see its spread ebb as financial institutions take a reality check and slow the frenetic pace of adoption. That, at least, is one of the many predictions for the new year from of a...

Predictions for 2025: Regulatory Climate to Impact Data Management as KYC Initiatives Evolve

By Cenk Ipeker, General Manager, Product Management, Cloud, NICE Actimize. As we enter 2025, financial institutions are likely to witness a shift toward more efficient, customer-friendly, and compliant Know Your Customer (KYC) practices. These changes will occur as institutions navigate an evolving regulatory landscape and technological advancements, with data management becoming a key focus area...

Why is Comms Surveillance Still a Problem? Key Insights from RegTech Summit 2024

More than $3 billion in fines and even higher legal costs have underscored the persistent challenges firms face in e-communications surveillance. Despite abundant evidence of the regulatory, financial, and reputational risks at stake, this problem continues to vex compliance teams worldwide. This provided the context for a group of senior practitioners and RegTech experts convened...

A Holistic Approach to Regulatory Change Management: Insights from RegTech Summit 2024

In November, the RegTech community gathered for A-Team Group’s RegTech Summit in New York City, now in its eighth year. 2024 also saw a record number of national elections including the United States, the UK and six other G20 countries. The details of any changes in regulatory policy and any impact on Governance Risk and...

From Panic to Progress: Tackling the Trade Surveillance Data Challenge

Travis Schwab, CEO, Eventus. Over the past year, global regulators have hit firms with massive fines for lapses in data governance. This has triggered a state of near-panic across trade surveillance teams as they scramble to avoid a similar fate. In fact, there has been little time for much else. As one head of surveillance...

Beyond the AI Hype: Six Trading Technology Trends to Watch in 2025

The trading technology landscape is heading into 2025 with unprecedented momentum, driven by a convergence of regulatory changes, market structure reforms, and advances in core infrastructure technologies. While artificial intelligence dominates much of the conversation around fintech, the year ahead will also be shaped by broader, practical shifts—from faster settlement cycles and rising data costs...

Transforming Compliance: Key Takeaways from the RegTech Summit Panel on GenAI and LLMs

A deep dive on Generative AI (GenAI) in compliance was the focus of the first panel session at the recent A-Team Group RegTech Summit in New York. The panel comprised Erin Preston, Chief Compliance Officer, Wedbush Securities; Harsh Pandya, Vice President, Product Management, Saifr; Brandon Carl, EVP, Product Strategy, Smarsh; and Rachna Srivastava, Head of...