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Advancing Regulatory Data Collections Systems

By Ken Lamar, Founder and Principal Partner, Lamar Associates LLC (With Robert Lee, Executive Director, North America Client Engagement, AxiomSL). Regulators are beginning a journey to design the next generation of data collection systems. A critical aspect of the design process is the need for new data capabilities to effectively conduct supervisory activities to ensure…

Recorded Webinar: Data management for ESG requirements

Environmental, Social and Governance (ESG) investing is moving into the mainstream, requiring asset managers to develop ESG strategies that deliver for both the firm and its investors. While these strategies can outperform those that do not include ESG factors, there is no clear route to success in an immature market that is only just beginning…

One Year On: Banks Resume Prioritization of FRTB, but Same Challenges Persist

By: Essan Soobratty, Regulatory Product Manager, and Eugene Stern, Head of Market Risk Product, Bloomberg. One year on from the start of the global pandemic which sent global markets into turmoil and prompted regulators to introduce a range of emergency measures to support the financial system and the broader economy, banks are continuing their return…

Recorded Webinar: Improving data integrity to address regulatory requirements

Financial institutions today face a global regulatory landscape characterised by rigorous and varied reporting requirements across their businesses. Reporting challenges include completing more data fields across more lines of business with greater frequency, adding complexity and cost. At the same time, there is waning tolerance among supervisory bodies for errors, issues or delays – as…

Recorded Webinar: The UK’s New Prudential Regime for Investment Firms – Time to Prepare!

With the implementation of the new Investment Firms Prudential Regime (IFPR), the FCA is aiming to streamline and simplify the prudential requirements for solo-regulated investment firms in the UK. Under the new regime, all MiFID authorized, Collective Portfolio Management Investment Firms (i.e. UK UCITS ManCo and Alternative Investment Fund Management Firms permitted to undertake Additional Activities)…

Post-Brexit UK Sanctions Regime Adds Complexity as Firms Wrestle with Global Compliance

The post-Brexit UK sanctions regime has added complexity to firms’ efforts to comply with international sanctions regimes, in some cases changing their appetite for risk, according to a recent A-Team webinar on the topic. And although much of the UK regime has been transposed from EU regulation, small but significant changes are adding to the…

Recorded Webinar: The post-Brexit UK sanctions regime – how to stay safe and compliant

When the Brexit transition period came to an end on 31 December 2020, a new sanctions regime was introduced in the UK under legislation set out in the Sanctions and Anti-Money Laundering Act 2018 (aka the Sanctions Act). The regime is fundamentally different to that of the EU, requiring financial institutions to rethink their response…

Uncovering PEPs in Fight Against Financial Crime

By Rachel Woolley, Global Director of Crime at Fenergo. Non-compliance is a costly business. Throughout 2020, financial institutions (FIs) around the globe have received $10.6 billion in enforcement actions for financial crime violations, including breaches of anti-money laundering (AML) and know your customer (KYC) regulations— up 27% from last year. With the pandemic leading to…

Qomply and Bovill Team Up on Regulatory Audits

Qomply, a RegTech firm specializing in transactions reporting for MiFIR, SFTR and EMIR, has joined forces with global financial services regulatory consultancy Bovill to develop an end-to-end transaction reporting service for financial institutions. Powered by Qomply’s technology, Bovill will streamline its HealthCheck services to provide clients with immediate feedback on the accuracy and completeness of…

ACA Compliance Group Launches New Global ESG Practice

ACA Compliance Group (ACA) today launched a specialist global environmental, social, and governance (ESG) advisory practice, headed up by Dan Mistler, who joins ACA from ESG and environment firm, Bridge House Advisors. Sustainability and responsible investing increasingly appear on the agendas of global political leaders, regulators, and firms alike. According to President-elect Joe Biden, the U.S. will…