RegTech Insight Blogs The latest content from across the platform
Kaizen’s Single Rulebook Wins Award for Best Solution for Regulatory Change Management in A-Team Group RegTech Insight Awards Europe 2024
Kaizen’s Single Rulebook has won the award for Best Solution for Regulatory Change Management in A-Team Group’s RegTech Insight Awards Europe 2024. The London-based company’s product impressed judges with its ability to streamline compliance workflows. The RegTech Insight Awards recognise established providers and innovative newcomers that offer solutions that are successfully improving firms’ ability to…
Navigating the MiFIR Refit in 2024
The MiFIR Refit came into force in May to overhaul the European financial landscape with its focus on transparency and data integrity. Its ban on Payment for Order Flow aims to remove any vestiges of conflict of interest, while the consolidated tape is set to provide a comprehensive view of market data in a standardized…
Addressing the Global Refit with deltaconX
ESMA has opted for a big-bang approach to the EMIR Refit, as have the regulators behind similar mandates in the UK and across the Asia-Pacific region. The approach has left many firms scrambling to meet tight and onerous compliance deadlines. “It has been a humbling period for many firms, dealing with the isolating challenges of…
n-Tier – Bringing Order to Regulatory Data Chaos
Navigating the complex world of regulatory data management is no easy task. But the challenges posed by the need to meet the concurrent demands of many new regulations and updates to existing ones should come as no surprise. Certainly, the regulators’ stance is clear: Firms are expected to comply; no excuses. According to Peter Gargone,…
Regulatory Reporting: Best Practices in 2024 and Beyond
Regulatory reporting can often feel like an endless and expensive grind. Achieving reporting excellence demands robust data governance, seamless automated data collection, standardized reporting formats, a centralized system, and a proactive approach to regulatory changes. While these requirements are well-understood, they are hard to implement. But emerging AI-powered solutions are beginning to show efficiency gains…
Generative AI Poised for Leading Role as Regulatory Data Burden Grows
Amidst the hype around Generative AI (GenAI) and Large Language Models (LLMs), practitioners are beginning to realise that these emerging technologies can make a positive impact on the collection and validation of regulatory data. The categories and scope of regulatory data requirements have expanded considerably in response to rapid market developments and growing regulatory scrutiny….
Financial Firms Reliant on Management by Policy for Comms Compliance, Survey Finds
Management by policy – specifically bans on communications channels, particularly WhatsApp – remains the most the most common approach among financial institutions to ensuring secure, compliant communications, according to a survey from archiving specialist Global Relay. Although the figure dropped by 15% from a year, 43% of survey respondents said bans were their preferred solution….
Building the Future of Trade Surveillance: A Conversation with Eventus CEO Travis Schwab
Eventus, the trade surveillance and financial risk solutions vendor, is currently experiencing a strong growth phase, marked by nearly perfect customer retention rates, expansion across various asset classes and geographies, and consistently positive reviews of its platform. The company, which just reported a 25% increase in its client base over the past year, has recently…
ESMA Good Practices Statement Hides a Warning on Pre-Close Calls
ESMA recently published a statement titled Good practices in relation to pre-close calls. The statement was prompted by media reports and verification by National Competent Authorities (NCAs) of a link between pre-close calls between issuers and analysts and subsequent volatility, in some cases raising suspicion about possible unlawful disclosure of inside information. It should be…
Fenergo launches AI powered CLM with Amazon Bedrock
Fenergo recently launched its AI Powered Client Lifecycle Management (CLM) at Money2020 in Amsterdam. The new CLM solution leverages Amazon Bedrock to enhance operational efficiencies in onboarding, client and counterparty management, and regulatory compliance. This launch comes at a time when financial institutions are grappling with intensifying regulatory pressures and rising costs. Stella Clarke, Chief…