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FCA Off-Channel Comms Survey Reveals 41% Senior-Level Incidents
On 7 August 2025, the UK Financial Conduct Authority (FCA) published its multi-firm review into off-channel communications across 11 wholesale banks. Eight of the firms disclosed 178 breaches of their own internal policies over the previous 12 months, with 41% of recorded incidents involving individuals at director grade or above. The FCA stresses that a…
AI in Action: 11 Firms Rewiring Compliance for Speed, Clarity and Control
Regulatory change isn’t slowing, and neither is the demand for defensible decisions. Compliance teams need tools that are clear about what they do, how they’re governed, and where their limits are. LLMs and agentic AI in compliance will feature in A-Team Group’s RegTech Summits in London (16 October) and New York City (20 November) with…
FCA Advances Bond CT to Auction Stage; ESMA Confirms fairCT as First EU Bond-CTP
The UK Financial Conduct Authority (FCA) has opened the price auction phase for shortlisted bidders for its bond market consolidated tape (CT), a single, real time feed of post trade bond data drawn from every UK trading venue and Approved Publication Arrangement (APA). The initiative is intended to make bond markets “more transparent, efficient and…
The Data Backbone of Defence: Powering Next Generation Surveillance
A unified data fabric is fast becoming wholesale finance’s front line of defence. By fusing millions of voice calls, chat messages and trade records into a single analytical view, next generation surveillance promises to detect misconduct in minutes and to satisfy regulators who increasingly ask firms to prove that capability. A-Team Group RegTech Summits in…
EU’s AI Act Loads Data Responsibilities on Institutions but also Offers Opportunities
Financial institutions are under pressure to put their data estates in order as the European Union’s artificial intelligence regulation comes into force this week, threatening huge fines for failures to observe its tough rules on the safe and fair use of the technology. Nevertheless, the introduction of stringent measures that will place new compliance burdens…
RepRisk Feeds Business Conduct Data into BlackRock’s Aladdin to Bolster ESG Oversight
Reputational risk specialist RepRisk has integrated its AI driven dataset—covering 100?+ risk factors across 400,000?+ public and private entities—into BlackRock’s Aladdin investment platform. The link gives portfolio managers real-time “outside in” alerts on corporate misconduct directly inside their trading and risk workflows. “We are proud to serve the global asset management and asset owner community…
Nasdaq Verafin Pilots Agentic AI AML-Workers
Nasdaq’s anti financial crime arm, Verafin, is piloting a set of agentic AI ‘digital workers’ designed to handle the labour-intensive parts of anti money laundering (AML) compliance – tasks such as clearing false positive sanctions alerts and performing routine enhanced due diligence (EDD) reviews. Financial crime teams remain under heavy pressure. In a survey of…
Behavox Intelligent Archive: Cutting Compliance Investigation Times by 40%
Earlier this month, Behavox revealed its Intelligent Archive product, an AI-driven platform designed to collapse the barriers between voice, chat and trade data into a single, cloud native repository, had significantly reduced compliance investigation times. Early adopters report up to a 40 % reduction in investigation cycle times, alongside as much as a 52 %…
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? …