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RegTech Insight Webinars
Recorded Webinar: Detecting and preventing market abuse
Market abuse – unlawful disclosure of inside information, insider trading, circular trading, “pump and dump” schemes, etc. – poses significant threats to the integrity of capital markets. In 2024, global trading house Trafigura agreed to pay a $55 million fine to the U.S. Commodity Futures Trading Commission (CFTC) for trading with non-public information, manipulating a...
Recorded Webinar: Effective due diligence, screening and monitoring to mitigate financial crime risk
Managing financial crime risk requires a comprehensive approach to due diligence, screening, and continuous monitoring. Financial institutions face increasing regulatory scrutiny and staying compliant in today’s dynamic environment requires advanced technologies. Failure to comply is resulting in severe enforcement penalties. This webinar will explore practical strategies and tools for mitigating financial crime risk, focusing on...
Recorded Webinar: Best practices for compliance with EU Market Abuse Regulation
EU Market Abuse Regulation (MAR) came into force in July 2016, rescinding the previous Market Abuse Directive and replacing it with a significantly extended scope of regulatory obligations. Eight years later, and amid constant change in capital markets regulation, technology and culture, financial institutions continue to struggle to stay on the right side of the...
Recorded Webinar: Best practice approaches to trade surveillance for market abuse
Breaches of market abuse regulation can lead to reputational damage, eye-watering fines and, ultimately, custodial sentences of up to 10 years. Internally, market abuse triggers scrutiny of traders and trading behaviours; externally it can undermine confidence in markets and cause financial instability. This webinar will discuss market abuse of different types, such as insider trading...
Recorded Webinar: How to automate entity data management and due diligence to ensure efficiency, accuracy and compliance
Requesting, gathering, analysing and monitoring customer, vendor and partner entity data is time consuming, and often a tedious manual process. This can slow down customer relationships and expose financial institutions to risk from inaccurate, incomplete or outdated data – but there are solutions to these problems. This webinar will consider the challenges of sourcing and...
Recorded Webinar: Potential and pitfalls of large language models and generative AI apps
Large language models (LLMs) and Generative AI applications are a hot topic in financial services, with vendors offering solutions, financial institutions adopting the technologies, and sceptics questioning their outcomes. That said, they are here to stay, and it may be that early adopters of Generative AI apps could gain not only operational benefits, but also...
Recorded Webinar: Proactive RegTech approaches to fighting financial crime
Financial crime is a global problem that costs the economy trillions of dollars a year, despite best efforts by financial services firms, regulators, and governments to stem the flow. As criminals become more sophisticated in how they commit financial crime, so too must capital markets participants working to challenge criminality and secure the global financial...
Recorded Webinar: How to apply innovative e-comms surveillance whilst ensuring control, compliance and enhanced productivity
Remember the days when email was the predominant media for electronic communications within and among financial institutions? Fast forward to today, and email represents a declining fraction of these e-comms, many of which are hosted by modern collaborative platforms such as Microsoft Teams, Webex, Slack, and Zoom, and all of which are subject to surveillance....
Recorded Webinar: Perpetual KYC: compliance as the source of better business
Perpetual KYC (pKYC) opens the door for financial institutions and corporations to improve customer onboarding & monitoring processes, reduce operational costs, ensure regulatory compliance, and better understand risk exposures in real time. Unlike traditional or periodic KYC, pKYC continually reviews and updates client data in near real-time providing ongoing data accuracy and accurate risk management....
Recorded Webinar: Adding value and improving efficiencies in sanctions screening
Sanctions have been headline news this year. They are growing in number, sanctions lists are changing on a daily basis, and there can be conflict between sanctions issued by different jurisdictions – the whole calling for financial institutions to optimise sanctions screening to reduce risk and avoid potentially punitive penalties of non-compliance. This webinar will...