RegTech Insight Governance The latest content from across the platform
Upcoming Webinar: GenAI and LLM case studies for Surveillance, Screening and Scanning
6 November 2025 11:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes As Generative AI (GenAI) and Large Language Models (LLMs) move from pilot to production, compliance, surveillance, and screening functions are seeing tangible results — and new risks. From trade surveillance to adverse media screening to policy and regulatory scanning, GenAI and…
Upcoming Webinar: Managing Non-Financial Misconduct Under SMCR
9 October 2025 11:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes 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…
Upcoming Webinar: Hearing from the Experts: AI Governance Best Practices
9 September 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes The rapid spread of artificial intelligence in the financial industry presents data teams with novel challenges. AI’s ability to harvest and utilize vast amounts of data has raised concerns about the privacy and security of sensitive proprietary data and the ethical…
Upcoming Webinar: Are Your Legacy Voice Recordings a Compliance Time Bomb?
2 July 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes Recent enforcement actions underscore the importance of maintaining accurate, secure and up-to-date voice and electronic communication. For some organisations, legacy voice recording systems are not at or beyond end-of-life, posing significant compliance, operational and financial risks. These outdated systems often fail…
Upcoming Webinar: Best Practices for Managing Trade Surveillance
1 July 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes The surge in trading volumes combined with the emergence of new digital financial assets and geopolitical events have added layers of complexity to market activities. Traditional surveillance methods often struggle to keep pace with these changes, leading to difficulties in detecting…
Regulators Hit Pause on Rules but Signal Zero Tolerance for Weak Governance
In an eventful month for global financial oversight, key regulators in the U.S. and EU have taken a pragmatic stance – extending major compliance deadlines while simultaneously trimming regulatory agendas. The U.S. Securities and Exchange Commission (SEC) extended critical deadlines for broker-dealer reserve computations and private fund disclosures, withdrew fourteen proposed rules, and the European…
Navigating Global Stablecoin Regulation
Stablecoins have surged from niche crypto curiosities to pivotal elements of global finance. Pegged to fiat currencies or other assets, these digital tokens promise near-instant settlement, lower transaction costs, and 24/7 liquidity-features reshaping capital markets and payment infrastructures worldwide. However, this rapid growth has drawn intensified regulatory scrutiny, particularly across the G20, where authorities grapple…
From Archive to Insight – Smarsh Unveils OpenAPI Platform for EComms Governance
On 4 June 2025, Smarsh unveiled what it calls its “largest platform refresh in years,” layering next generation artificial intelligence, a Copilot ready capture service and an open API suite onto the company’s cloud compliance stack. The launch positions the Portland based vendor to help banks and brokers contend with the coming wave of generative…
SteelEye’s 2025 Compliance Health Check – Bigger Budgets, Smarter Tech – But Challenges Remain
SteelEye’s 2025 Compliance Health Check Report captures how firms responded to compliance pressures during 2024. A review of the same report for 2023 reveals a clear rebound in spending and technology adoption after a brief post-pandemic hiatus, yet it also underscores persistent gaps in manual work, channel coverage and enforcement readiness. In the 2024 data…
From Capture to Context: Transforming Voice Comms Compliance with Theta Lake
In today’s financial landscape, voice communications compliance extends beyond simple capture and retention – it demands contextual insight and integrated oversight across multiple platforms. Firms grapple with fragmented systems, complex cloud environments, and regulatory pressures that require a more holistic compliance strategy. In this video interview, Adrian Sharp, RegTech Insight Editor at A-Team Group, talks…