RegTech Insight Governance The latest content from across the platform
A-Team Group Names Winners of RegTech Insight Awards – USA 2022
Congratulations to the winners of A-Team Group’s RegTech Insight Awards – USA 2022. The awards were presented by Sarah Underwood, Editor, A-Team Group during a lively drinks reception following A-Team Group’s RegTech Summit New York on 16 November 2022. The RegTech Insight Awards recognise both established solution providers and innovative newcomers providing RegTech solutions that…
Recorded Webinar: Cross-Regulation Data Consistency and Accuracy
Regulatory reporting obligations continue to expand, bringing with them more overlaps of data elements across reporting regimes. As many firms struggle with the accuracy and completeness of individual reporting obligations, regulators have increasingly begun to focus on cross-regulation data consistency in their data validations and examination processes. This webinar will identify cases of data overlap…
Sustainable Trading Adds Seven New Firms to its Membership Network
Sustainable Trading, the non-profit organisation aiming to transform environmental, social and governance (ESG) practices in the financial markets trading sector, has added seven new firms from across the trading industry to its membership network. Joining the 41 firms already participating in the industry initiative are Barclays, Liquidnet, Mizuho International, Rand Merchant Bank, Schroders, State Street…
AFME Makes Recommendations for Open Finance Framework
The Association for Financial Markets in Europe (AFME) has underlined the importance of a level playing field for responsible data sharing and made recommendations for an Open Finance Framework ahead of the publication of the European Commission’s framework for data access in financial services that is due to be published in coming months. EFMA shares…
FCA Fines Citigroup Global Markets £12.5 Million for Market Abuse Failings
The UK’s Financial Conduct Authority (FCA) has issued Citigroup Global Markets with a fine of more than £12 million for failing to properly implement the EU’s Market Abuse Regulation (MAR) trade surveillance requirements. The failure meant that Citigroup Global Markets could not effectively monitor its trading activities for certain types of insider dealing and market…
ION Releases Compliance SaaS to Target Tier 2 / 3 Buy Sides
ION Markets is targeting Tier 2 and Tier 3 asset management firms with its new Compliance SaaS solution, which helps firms comply with regulations globally as well as internal policies governing their investment activities on behalf of clients. The new platform uses Web technologies to offer SaaS and HTML 5 delivery of the former Sentinel…
Recorded Webinar: Leveraging NLP for regulatory compliance
As regulatory compliance becomes more complex, requires larger volumes of data – both structured and unstructured, and comes under greater scrutiny by regulators, financial institutions are looking for RegTech solutions that can help them increase efficiency, reduce costs, and improve the accuracy of regulatory data. One such solution is natural language processing (NLP), which can…
Recorded Webinar: Embracing cloud in your firm’s regulatory response
Regulatory compliance is a key function for financial institutions. It is also a huge burden in terms of time, data management, systems resources, manual intervention, and reporting. As financial firms progress digital transformation programmes, is it time to move regulatory reporting to the cloud with a view to improved efficiency, reduced costs and better business…
ACA Completes Foreside Merger to Form One of Largest GRC Platforms
GRC platform operator ACA Group has completed its merger with Foreside Financial Group, creating one of the world’s most extensive governance, risk and compliance offerings. The merger combines ACA’s regulatory compliance, cybersecurity, ESG and performance capabilities with Foreside’s distribution and broker-dealer capabilities to create a one-stop shop for investment firms. ACA’s business model involves supplementing its…
Recorded Webinar: Adding value and improving efficiencies in sanctions screening
Sanctions have been headline news this year. They are growing in number, sanctions lists are changing on a daily basis, and there can be conflict between sanctions issued by different jurisdictions – the whole calling for financial institutions to optimise sanctions screening to reduce risk and avoid potentially punitive penalties of non-compliance. This webinar will…