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ACA Group Expands Broker-Dealer Compliance Support with FINOP Consulting Acquisition
In a strategic move to deepen its support for broker-dealer clients, ACA Group has acquired FINOP Consulting, an outsourcing firm specializing in financial and operational compliance for broker-dealers. Led by industry veteran and FINOP founder Dan Beaton, the acquisition enables ACA to expand its capacity in financial operations (FinOps) services, particularly for clients needing precise…
DTCC’s Enhanced VaR Calculator for Potential Cross-Margin Reductions
The Depository Trust & Clearing Corporation (DTCC) has updated its Value at Risk (VaR) calculator to include cross-margining and repo transaction functionalities, aimed at improving firms’ risk management capabilities ahead of expanded U.S. Treasury clearing requirements expected in 2025 and 2026. These enhancements, introduced through the Fixed Income Clearing Corporation’s (FICC) Government Securities Division (GSD),…
ESG Data Tops Executives’ 2025 Shopping Lists
Senior executives at financial institutions expect to direct the biggest boost in their data expenditure plans over the coming year towards ESG information, according to a survey that also found that high-quality data and analytics in all domains is being prioritised for growth. In its third annual Future of Finance survey, Switzerland-based exchange operator SIX also found…
Enhancing Messaging Governance: IPC and LeapXpert’s New Partnership
In a move to bolster messaging governance and compliance within the financial sector, IPC has partnered with LeapXpert to provide improved solutions for regulated financial businesses. As the industry increasingly relies on digital messaging channels alongside traditional telephony, managing effective surveillance and meeting regulatory obligations like data recordkeeping has become a significant challenge. LeapXpert addresses…
Embracing a New Age of Post-trade Transparency
By Anne Plested, MCSI, Senior Product Manager for Regulation, ION Markets. Incentives for change Earlier last year, as part of the UK Wholesale Markets Review (WMR), the Financial Conduct Authority (FCA) published its PS23/4 policy statement on Improving Equity Secondary Markets. Promising to remove the most burdensome and unnecessary regulatory requirements, this policy aims to…
Corlytics Enforcement Data Signals Elevated Compliance Risks
Regulators worldwide have ramped up enforcement actions at unprecedented levels in the latter half of this year, with historic fines and new precedents being established across the various sectors. According to the latest enforcement data from RegTech consolidator, Corlytics, the total value of enforcement penalties in the third quarter of 2024 is up by 300%…
RegTech Summit New York – Where Innovation Meets Compliance
A-Team Group’s RegTech Summit New York is back in Midtown Manhattan for its eighth year, bringing together industry practitioners, innovators and regulators to share insights into the most pressing regulatory changes and trends shaping the future of capital markets. Prepare yourself for a full day of dynamic discussions, insightful presentations, and networking where industry leaders…
FCA Survey Reveals Gaps in Governance and Policy on Non-Financial Misconduct
The U.K. Financial Conduct Authority’s (FCA’s) – Culture and non-financial misconduct survey – highlights challenges, gaps, and key trends in how firms detect, address, and prevent incidents of bullying, harassment, discrimination, and other forms of non-financial misconduct (NFM). Regulators are recognising the negative effects on workplace culture, compliance, and overall trust from these behaviours. The…
Interoperability and Innovation: Building a Unified Defence Against Global Fraud
By Josh Vowles-Dent, Business Strategy and Partnerships Manager, ComplyCube. The global regulatory landscape has become far more demanding over the past few years, leaving firms vulnerable to the costly penalties and reputational damage that come with non-compliance. Regulations have become increasingly complex as a result of the dynamic nature of fraud and its fast-paced evolution….
Ensuring Data Integrity in Finance – A Foundation for Efficiency and Trust
By Neil Sandle, director of product management at Gresham. In today’s financial landscape, data integrity is more than a regulatory requirement — it is the backbone of efficient operations and trustworthy decision making. Ensuring that data remains accurate, consistent, and reliable throughout its lifecycle is essential for financial institutions looking to maintain operational excellence, manage…