RegTech Insight Blogs The latest content from across the platform
Data Suggests ESG Integration Burden is Easing in Private Markets
The ESG integration burden on private markets appears to be abating. Two reports this week suggest that one of the largest investment categories for financial institutions are finding it easier to obtaining the data they need to implement a robust sustainability strategy and that the importance of ESG to portfolio companies is increasing. A survey…
Hosting GenAI in the Cloud for RegTech
In his recent letter to shareholders, JP Morgan Chase CEO Jamie Dimon highlighted cloud computing and GenAI as integral components of the firm’s strategy, with 75% of its data and 70% of its applications to be hosted in a combination of public and private clouds this year. Over the past decade, cloud computing has become…
S&P Global’s Cappitech Extends Pirum Collaboration for SEC Rule 10c-1a
Pirum, the London based, post-trade services and securities financing automation vendor and the Cappitech unit of S&P Global Market Intelligence have extended the functionality of their joint Securities Financing Transaction Reporting (SFTR) solution to address the upcoming SEC rule 10c-1a, which covers the reporting of securities lending transactions. The two originally partnered in 2021 to…
ESG Space Has Strengthened Under Pressure, Summit Lead Speaker Says
The ESG space has emerged stronger from a bruising year of criticism, with financial institutions and companies alike taking a more considered approach to integrating sustainability considerations into their operations. That is the message from the lead speaker at this year’s ESG Data and Tech Summit London, who also forecasts that vendors and users will…
FCA Greenwashing Rule Raises Questions Over Data Requirements
The UK will implement its own anti-greenwashing rule at the end of this month but some industry participants are concerned that its data requirements are vague and could be misinterpreted by institutions. The Financial Conduct Authority’s (FCA) rule, part of its broader Sustainability Disclosure Requirement (SDR), expects companies to ensure that any sustainability claims made…
A-Team Group Names Winners of Innovation Awards 2024
A-Team Group has named the winners of its prestigious Innovation Awards 2024. The awards celebrate innovative projects and teams across vendor and practitioner communities that make use of new and emerging technologies to deliver high-value solutions for financial institutions in capital markets with a focus on data management, trading technology, RegTech or ESG. This year’s…
Generative AI in RegTech: Promise, Pitfalls and a Glimpse Into the Future
The release of ChatGPT in October 2022 created an overnight sensation and Artificial Intelligence (AI) now dominates every corner of the business news cycle including financial services and capital markets. Before ChatGPT, the world of AI/ML revolved largely around data scientists and communities of developers on GitHub. Financial institutions have been leveraging AI technologies for…
T+1 Accelerators Showcased at Symphony Innovate 2024
With less than 30 days until the May 28 T+1 implementation for US markets, collaboration platform operator Symphony last week used the occasion of its annual Symphony Innovate event to highlight three innovations that promise to significantly accelerate the resolution of post-trade exceptions. The new capabilities, which build on the company’s foundational secure communication platform,…
Top e-Comms Surveillance Providers
Earlier this month, the Securities and Exchange Commission announced charges against a registered investment adviser for widespread and longstanding failures to maintain and preserve certain electronic communications; the matter was settled for $6.5 million. This case is notable because it is the first time the SEC has brought charges against an RIA with no ties…
SteelEye Survey Finds Compliance Investment Falling while Regulatory Demands Continue to Rise
Compliance teams are facing escalating pressures driven by greater regulatory scrutiny and macroeconomic challenges, according to the 2024 Annual Compliance Health Check Report from SteelEye’. This is the third Annual Compliance Health Check report which surveyed over 400 senior compliance decision makers at financial institutions across major financial centres in the US, UK, APAC, and…