RegTech Insight Governance The latest content from across the platform
ACA Insights from FCA 2024 STORS Report (Insider Dealing Dominates)
In March, the UK Financial Conduct Authority (FCA) published its annual breakdown of suspicious transaction and order reports (STORs) filed during 2024. The headline figure – 4,528 STORs received – reflects continued vigilance in monitoring for potential market abuse. While the volume remains largely consistent with previous years, the detailed breakdown offers valuable insights for…
UK FCA DC Outpost Signals Deeper Global Regulatory Cooperation
Britain’s financial watchdog is officially setting up shop in the United States. In a bid to strengthen transatlantic regulatory ties, the UK Financial Conduct Authority (FCA) has stationed a senior official at the British Embassy in Washington, D.C., marking the first time the FCA has established a physical presence on U.S. soil – see FCA…
IOSCO 2025 Thematic Review puts Regulators on Notice
The International Organization of Securities Commissions (IOSCO) released a key thematic review in February 2025. The report examines how Market Authorities (MAs) – supervisory authorities/regulators, trading venues and self-regulatory organizations (SROs) – around the world have implemented surveillance recommendations first established in 2013. This latest review specifically addresses regulators’ ability to oversee trading activities across…
7 AI-Powered RegTech Newcomers to Watch in 2025
A new wave of RegTech startups – founded ~2018 onwards – is leveraging AI to transform regulatory compliance across anti-money laundering, customer due diligence, trade surveillance, ESG reporting, and more. These “innovators to watch” are gaining traction via institutional adoption and regulatory sandbox programs. For identifying promising startups in AI-powered compliance technology, we evaluated each…
A (Free) Practical AI Handbook for Capital Markets Professionals
Artificial Intelligence (AI) has swiftly transitioned from a promising concept into an operational reality across the capital markets. Senior executives, compliance leaders, and technology specialists are already well-acquainted with the potential of AI to streamline processes, enhance decision-making, and open new competitive opportunities. Yet, the current challenge isn’t about grasping AI’s transformative potential – it’s…
AI in Capital Markets: Practical Insight for a Transforming Industry – Free Handbook
AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond…
Data Hurdles, Expertise Loss Hampering BCBS 239 Compliance
A combination of data management hurdles, talent shortages and poor succession planning are bedevilling banks as they struggle to respond to a long-standing risk data aggregation directive – even after repeated European Central Bank (ECB) criticism of their compliance shortfalls. The Basel Committee on Banking Supervision’s Principles for effective risk data aggregation and risk reporting…
November 2025 Deadline for ISO 20022: Are We Ready?
Global payment networks are undergoing a fundamental transformation as the financial industry transitions to ISO 20022 – a structured messaging standard designed to replace legacy formats and drive interoperability. In capital markets and treasury operations, this shift is most evident in the SWIFT cross-border payments network and high-value systems like the U.S. Fedwire. SWIFT’s Cross-Border…
Navigating Divergent AI Regulation – Can Standards Bring Clarity?
Artificial intelligence is transforming financial services, from automating credit assessments to streamlining compliance processes. But while AI capabilities are developing at pace, regulatory frameworks are struggling to keep up. Nowhere is this more apparent than in the contrasting approaches taken by the European Union and the United Kingdom. The EU has opted for a rules-heavy,…
SIX Rolls Out Data Service to Help Institutions Navigate Digital Asset Rules
Swiss based financial services and market infrastructure provider SIX Group as introduced a new data package designed to help financial institutions better understand their exposure to digital assets amid a rapidly changing regulatory landscape. The Digital Assets Regulatory and Tax Service provides a consolidated view of evolving obligations, aiming to support compliance efforts as digital…