Compliance and data analytics provider SteelEye has secured System and Organisation Controls (SOC) 2 certification. Defined by the American Institute of CPAs (AICPA), and covering the principles of Security, Availability, Confidentiality, Processing Integrity and Privacy, SOC 2 assesses firms’ safeguarding of customer data. The accreditation underpins SteelEye’s efforts to ensure robust data security.
Non-financial misconduct – encompassing behaviours such as bullying, sexual harassment, and discrimination is a key focus of the Senior Managers and Certification Regime (SMCR). The Financial Conduct Authority (FCA) has underscored that such misconduct is not only unethical but also poses significant risks to a firm’s culture and operational integrity. Recognizing the profound impact on...
As 2026 gets underway, RegTechs are positioning for a shift in regulatory emphasis from refits, rewrites and attestations to demonstrable evidence. Across the jurisdictions supervisors are shifting from consultation and rulemaking into validation and testing whether firms have operationalised reforms through governance, high-quality data, defensible controls and credible evidence. The seven RegTechs that follow have...
Now in its 3rd year, the AI in Capital Markets Summit returns with a focus on the practicalities of onboarding AI enterprise wide for business value creation. Whilst AI offers huge potential to revolutionise capital markets operations many are struggling to move beyond pilot phase to generate substantial value from AI.
The US Foreign Account Tax Compliance Act – aka FATCA – raised eyebrows when its final regulations requiring foreign financial institutions (FFIs) to report US accounts to US tax authorities were published last year. But with the exception of a few modifications, the legislation remains in place and starts to comes into force in earnest...
