RegTech Insight Blogs The latest content from across the platform
Bloomberg Vault Adds AI Surveillance Models for Insider Dealing and Personal Trading
Bloomberg has expanded its Vault communications surveillance platform with AI policies for insider dealing and personal trading. The launch follows the integration of BSpeech, which converts recorded calls in more than 50 languages into searchable transcripts. The products extend Vault’s coverage across voice, email and chat. They also address the pressure that rising communications volumes…
Generative AI Expands the Communications Evidence Record
As AI enters communications, surveillance and investigations, firms face a wider record-keeping question: what evidence will explain how a regulated outcome arose? This was the focus for recent webinar hosted by A-Team Group’s RegTech Insight and sponsored by NICE Actimize, The Next Compliance Frontier: Monitoring GenAI and Unstructured Comms Data. Generative AI extends the evidence…
RTS London – From Periodic Remediation to Continuous Proof
Regulators can interrogate reported data faster and in greater detail. Compliance controls will need to keep pace. That pressure extends beyond regulatory reporting. Artificial intelligence (AI) is moving into surveillance, regulatory change and financial-crime workflows. Firms must now demonstrate that the data supporting those systems is accurate, consistently represented and traceable to its source. Speakers…
HelmGuard Raises $7.3m Seed Round to Replace Compliance Paperwork with AI Agents that Verify Risk Directly
Agentic governance, risk and compliance platform HelmGuard has raised $7.3 million to expand in the US and develop technology that monitors AI agents at runtime. Infinity Ventures and Frontline co-led the seed round, with participation from FinTech Collective, Stage 2 Capital and Entrepreneurs First. HelmGuard plans to establish operations in New York and San Francisco,…
Authologic Registration Brings EUDI Wallets Closer to Institutional KYC
Authologic has become the first Polish company registered to issue Electronic Attestations of Attributes (EAAs) for European Union Digital Identity Wallets. Its registration provides an early example of how the European framework could affect financial-sector identity checks. The registration, granted by Narodowy Bank Polski, allows Authologic to issue and verify EAAs. These cryptographically signed credentials…
Insights from the Mills Review for Wholesale Surveillance
“Tweak the contract” triggered the surveillance control. But the surrounding exchange concerned a kitchen renovation. Alex de Lucena, Director of Product and Governance Strategy at Shield shared this example in a recent discussion with RegTech Insight following the publication of the FCA Board-sponsored Mills Review in July 2026. In late 2025, the FCA Board asked…
FCA Misconduct Rules Put Surveillance Evidence and HR–Compliance Workflows to the Test
The Financial Conduct Authority’s expanded non-financial misconduct rules took effect on 1 September, bringing around 37,000 non-bank firms within a broader conduct regime. Firms now need to show how complaints, communications evidence and employment investigations inform regulatory decisions. New rule COCON 1.1.7FR covers serious work-related bullying, harassment and violence towards colleagues. It brings non-bank firms…
SEC Crypto Proposal Opens a New Funding Route and a New Compliance Cycle
The SEC is proposing new fundraising rules for crypto projects that sell tokens while building a blockchain network or application. Regulation Crypto Assets would allow qualifying developers to raise capital from a broad investor base and support secondary trading through tailored exemptions from Securities Act registration. However, these new freedoms come with additional regulatory burdens….
AI Won’t Replace Compliance Professionals, but the EU’s AMLA Will Change How They Work
As the EU’s new Anti-Money Laundering Authority raises expectations around AML, firms are moving beyond transaction monitoring towards behavioural intelligence. Adam McLaughlin, Director of Financial Crime at Fenergo, argues that whilst AI will become central to that transition, human judgement remains the deciding factor. Historically, financial institutions have approached anti-money laundering as a process centred…
US Treasury Launches Task Force to Coordinate Financial Sector Quantum Transition
The US Treasury has launched a public-private task force to coordinate the financial sector’s transition to post-quantum cryptography financial institutions, market infrastructures, technology providers and other private-sector participants. The Quantum-Readiness Task Force will organise its work around three areas: sector alignment and migration; third-party and vendor readiness; and risks involving digital assets and emerging technologies….