RegTech Insight Governance The latest content from across the platform
GenAI and LLM Adoption in Compliance: Implementation Insights from Saifr’s Harsh Pandya
The Saifr sponsored whitepaper – From Caution to Action: How Advisory Firms are Integrating AI in Compliance – published in November, had several key themes surrounding the adoption of generative AI (GenAI) enabled technologies for compliance functions by advisors and wealth management companies. We recently covered the theme of in-house versus vendor-supplied solutions in an interview…
Generali-Natixis Tie-up Highlights Data and Operational Complexities of Asset Management M&A
By Jeremy Katzeff, head of buy-side solutions at GoldenSource. After much speculation, it’s now confirmed. The asset management industry welcomes another mega fund to its ranks after the tie-up between the asset management businesses of Natixis and Generali Group. The reasons behind the merger are the same as they have been for the last few…
19 RegTech Insights for 2025 from our RegTech Summits
The RegTech Summits in London and New York delivered a deep dive into AI-driven compliance, accelerated settlement, and evolving regulatory frameworks among other key RegTech topics, with industry leaders and regulators weighing in on the biggest challenges ahead. From the implementation of accelerated settlement cycles across global markets to the rise of generative AI (GenAI)…
DG FISMA Rejects the ESAs’ Draft RTS for DORA
Less than one week after the Digital Operations Resilience Act (DORA) came into full force in the EU, the Directorate-General for Financial Stability, Financial Services and Capital Markets Union (DG FISMA) issued a letter to the Chair of the Joint Committee of the European Supervisory Authorities (ESAs) rejecting the draft regulatory technical standards (RTS) submitted…
Understanding Reticence for AI in Compliance: Interview with Strategic Risk Advisor, Jon Elvin
The Saifr sponsored whitepaper—From Caution to Action: How Advisory Firms are Integrating AI in Compliance—published in November, explored a number of key themes surrounding the adoption of generative AI (GenAI) enabled technologies for compliance by advisors and wealth management companies. We recently covered the theme of in-house versus vendor supplied solutions in an interview with…
Operational Resilience Testing for DORA with Fusion Risk Management
The Digital Operational Resilience Act (DORA), an EU regulation aimed at strengthening the IT security of financial entities is now ‘live’ and fully applicable as of January 17. This legislation mandates that financial institutions, including banks, insurance companies, and investment firms, ensure they can withstand, respond to, and recover from all types of Information and…
UK Penalties for AML Regulatory Breaches More Than Double 2023 – Fenergo Research
According to a new analysis by Client Lifecycle Management and perpetual KYC solution provider Fenergo, financial institutions in the UK have experienced a sharp increase in the total value of AML-related fines despite a drop in the number of enforcement actions. In 2024, the Financial Conduct Authority (FCA) issued three significant fines totalling $64.74 million,…
SEC Launches Crypto Task Force to Provide Clarity on Regulatory Framework
Acting U.S. Securities and Exchange Commission (SEC) Chairman Mark T. Uyeda has launched a new crypto task force aimed at establishing a comprehensive and transparent regulatory framework for digital assets. Commissioner Hester Peirce will lead the initiative, with Richard Gabbert, Senior Advisor to the Acting Chairman serving as the task force Chief of Staff, and…
Muinmos Appoints Powerful Advisory Board to Drive KYC Growth
Digital onboarding and perpetual KYC solutions provider Muinmos has created an Advisory Board comprising four highly experienced professionals known for their work across RegTech, Big Data Analytics, and Digital Transformation. Each brings a record of scaling businesses and supporting growth, particularly in financial services. Their combined expertise is expected to inform Muinmos’ development of its…
GenAI in Compliance, Buy vs. Build: Interview with Saifr CEO Vall Herard
The Saifr sponsored whitepaper – From Caution to Action: How Advisory Firms are Integrating AI in Compliance – published in November, explored a number of key themes surrounding the adoption of generative AI (GenAI) enabled technologies for compliance by advisors and wealth management companies. One theme examined survey participants attitudes regarding vender supplied versus in-house built…