RegTech Insight Market Surveillance & Conduct The latest content from across the platform
Upcoming Webinar: The Next Compliance Frontier: Monitoring GenAI and Unstructured Comms Data
Date: 16 September 2026 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Generative AI is rapidly transforming how employees create, share, and interpret information. From internal copilots drafting client messages to AI tools summarising trading conversations or generating research notes, large language models are increasingly embedded in daily workflows across capital…
A-Team Group Announces Capital Markets Technology APAC Awards 2026 Winners and Launches ‘State of the Market’ Report
A-Team Group today announced the highly anticipated winners of the Capital Markets Technology APAC Awards 2026. These prestigious awards celebrate the most innovative solution providers and financial institutions that are reshaping the capital markets technology landscape across the dynamic Asia Pacific region. In conjunction with the awards, A-Team Group has also launched the “State of…
Shield Extends Agentic Suite Into Governed Alert Closure
Shield has added two AI agents to AmplifAI, its agentic suite for digital communications surveillance and investigations, extending the platform’s focus from detection and investigation into alert resolution and language coverage. The new Alert Closure Agent is designed to assess flagged communications using message content, risk language and conversation context, and to close alerts where…
Trading Technologies Upgrades TT Trade Surveillance Platform with Market Replay Tool
Trading Technologies International (TT) has upgraded its TT Trade Surveillance platform, introducing a Market Replay tool and an enhanced enterprise case management user interface. The update improves the workflow, speed and scope of compliance investigations across equities, fixed income, foreign exchange, cryptocurrencies, futures and options. Live demonstrations of the system will begin tomorrow at the…
Behavox Secures $175 Million Investment to Expand Unified Controls Platform
Behavox has secured a $175 million preferred equity investment from funds and accounts managed by HPS Investment Partners, part of BlackRock, giving the AI-native controls platform additional capital for global expansion, product development and selective acquisitions. The investment follows a period of commercial growth for the company, which says its customer base increased 86% over…
Shield adds Microsoft 365 Copilot & OCR to RegTech Surveillance Stack
Shield has expanded its communications surveillance platform to cover Microsoft 365 Copilot interactions and image-based content, addressing two areas where financial firms’ working practices have been moving faster than their compliance controls. The update adds a native Microsoft 365 Copilot connector and OCR text extraction for image attachments. Together, the capabilities bring employee prompts, AI-generated…
Off-Channel Compliance Demands Evidence, Not Just Policy
Off-channel communications compliance is moving beyond which tools firms permit. The deeper challenge is whether firms can evidence control over who is in scope, which channels are approved, how records are captured, how exceptions are escalated and how supervisors reconstruct context when a regulator asks for proof. That was the central theme of A-Team’s RegTech…
Recorded Webinar: Managing Off-Channel Communications Compliance
The compliance challenge around off-channel communications has moved beyond the familiar narrative of WhatsApp messages on personal phones. Today, the real issue confronting firms has become communication sprawl: conversations occurring across messaging apps, collaboration platforms, social media direct messages, personal email, and even messaging tools embedded within trading and workflow applications. Regulators’ expectations focus on…
Taskize and Global Relay Add Evidence Layer for Financial Services Operations
Taskize has partnered with Global Relay to add API-based communications archiving to its investment operations collaboration platform, supporting stronger evidence of cross-firm resolution workflows. The integration uses the Global Relay Open Connector API to capture activity within Taskize Bubbles, the platform’s shared spaces for resolving operational issues between firms. The archive can record transcripts, metadata,…
Shield Adds Analytics Layer and Faster Review Workflow to Surveillance Platform
Shield has added two capabilities to its communications surveillance and archiving platform, aiming to help compliance teams improve alert review efficiency while giving senior leaders clearer evidence of surveillance performance. The updates include Shield Insights, a premium analytics layer for compliance operations, and a redesigned reviewer experience that Shield says can reduce alert review time…