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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…
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…
Navigating the Compliance Minefield: Decommissioning Legacy Voice Recording Systems
The financial services sector faces unprecedented scrutiny regarding communication record-keeping, a challenge amplified by evolving regulations and a proliferation of digital channels. A recent webinar hosted by A-Team Group and sponsored by Wordwatch, brought together industry experts to dissect the complexities of managing legacy voice recording transitions and charting a course for future-proof compliance. The…
Data Readiness is No Longer Optional for Banks
By Stuart Harvey, Chief Executive of Datactics. In a landscape marked by increasing regulatory scrutiny and accelerating digital change, data has long since shed its role as a by-product of banking operations and is now a critical strategic asset. The speed at which institutions must demonstrate data integrity, quality, and accessibility has made compliance not…
T minus 17 and Counting: Anticipating Canada’s OTC Reporting Rewrite
With a little over two weeks remaining before Canada’s derivatives trade reporting rewrite comes into force on 25 July, market participants are finalising the broadest data governance uplift the domestic OTC market has ever seen. The year old amendments to Multilateral Instrument 96101 set a single compliance date for every province and territory and align…
Unlocking $100 Trillion: Chainlink’s New Framework for On-chain Institutional Finance
Chainlink, the decentralized blockchain network designed to facilitate the transfer of tamper-proof data from off-chain sources to on-chain smart contracts, has introduced its Automated Compliance Engine (ACE). ACE is a modular framework aimed at addressing compliance challenges in onchain finance and facilitating institutional participation in blockchain markets. Built atop the Chainlink Runtime Environment, ACE is…
Navigating the Evolving Landscape of Trade Surveillance: Key Insights and Best Practices
With regulators sharpening their focus and trading desks pushing ever more complex strategies, a robust trade surveillance capability has become non-negotiable for today’s financial institutions. From spoofing to layering, new market-abuse schemes demand surveillance platforms that blend real-time analytics, machine learning and human insight. A recent webinar, hosted by A-Team Group, brought together a diverse…