RegTech Insight Blogs The latest content from across the platform
EU’s AI Act Loads Data Responsibilities on Institutions but also Offers Opportunities
Financial institutions are under pressure to put their data estates in order as the European Union’s artificial intelligence regulation comes into force this week, threatening huge fines for failures to observe its tough rules on the safe and fair use of the technology. Nevertheless, the introduction of stringent measures that will place new compliance burdens…
From Alerts to Answers: Castellum.AI’s $8.5 Million Series A Signals a New Era for Agentic Compliance
Earlier this month, an early stage RegTech startup Castellum.AI closed an oversubscribed US $8.5 million Series A round led by Curql and other banking backed investors. Management says the cash will turbocharge its platform that fuses first party risk data, a highspeed screening engine and “agentic” AI assistants. “Compliance teams are drowning in false positives…
From Pilot to Production: Deploying Agentic AI for Compliance with MCP
In late November 2024, Anthropic unveiled the Model Context Protocol (MCP), an open, standard and accompanying software development kits (SDKs). MCP is designed to address specific agentic AI adoption bottlenecks. By defining a common interface through which large language model (LLM) applications discover and invoke external tools, MCP promises to transform AI deployments from a…
Behavox Intelligent Archive: Cutting Compliance Investigation Times by 40%
Earlier this month, Behavox revealed its Intelligent Archive product, an AI-driven platform designed to collapse the barriers between voice, chat and trade data into a single, cloud native repository, had significantly reduced compliance investigation times. Early adopters report up to a 40 % reduction in investigation cycle times, alongside as much as a 52 %…
FCA Derivatives Trading Obligation: Why GRC Teams Should Watch Article 28a Closely
The FCA’s latest announcement on the UK derivatives trading obligation (DTO) landed quietly on July 17, but its impact is more than a short web statement. By invoking its brand-new power of direction under Article 28a of onshored MiFIR, the regulator has replaced the post Brexit Temporary Transitional Power (TTP) transitional regime with a standing…
Regulators Stay Tough: Why Surveillance Matters in 2025
By Paul Cottee, Director, Regulatory Compliance, NICE Actimize. A common question has arisen in recent conversations and at conferences. Now that major U.S. regulators have new leaders and enforcement heads in place, will enforcement actions slow down both in the United States and around the world? In other words, can financial institutions ease surveillance efforts? …
Beware: Persisting Regulatory Gaps as Stablecoin Standards Converge
By Stefano Chierici, Senior Product Manager, Financial Information, SIX. Once on the fringes of the crypto movement, stablecoins are fast becoming the cornerstone of many financial institutions’ digital assets strategies – and watchdogs are rallying to ensure necessary guardrails are in place, without hindering this emerging asset class. Backed by real-world assets to address the…
Turning Regulation into an Advantage for UK Financial Sector SMEs
By Jon Lucas, Director and Co-Founder, Hyve Managed Hosting. While security and compliance have always been crucial pillars of cloud hosting, the landscape is shifting. New legislation and stricter regulatory frameworks are placing heavier demands on businesses – particularly in sectors like financial services – forcing companies to invest more time, and resources into ticking…
Delta Capita’s Elaris OTC Stitches New Rails into the Derivatives Backoffice
Over the counter (OTC) derivatives remain one of the world’s largest financial markets. Bank for International Settlements (BIS) data puts notional outstanding at roughly US $700 trillion at mid 2024. Yet pockets of manual effort still reside in day today processing with industry estimates suggesting 20% of OTC trades are confirmed and settled by email…
Validating GenAI Models in Finance: A Q&A with Chandrakant Maheshwari on Risk, Governance, and the Rise of Agentic AI
At a recent RegTech Insight Advisory Board session, a discussion with Chandrakant on generative AI (GenAI) and model risk management underscored the need to cut through the hype and myths around GenAI and emerging agentic AI in regulated markets. This Q&A is the result. It examines why traditional model validation techniques—ROC curves and confusion matrices—can’t…