RegTech Insight Market Surveillance & Conduct The latest content from across the platform
Upcoming Webinar: Post-Trade Transformation: Automating Clearing & Settlement
Date: 1 December 2026 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes The UK, EU and Swiss markets move to T+1 settlement on 11 October 2027, but the first binding compression arrives almost a year earlier. ESMA’s amended settlement discipline RTS expects allocation and confirmation completed by 23:00 CET on trade…
Behavox Acquires Apiax to Add Cross-Border and Content Compliance
Behavox has acquired Zurich-based Apiax, adding software that converts financial regulation into machine-readable rules for use within firms’ own systems. The deal extends Behavox’s controls platform into cross-border and content compliance, connecting regulatory interpretation with its regulatory change management, surveillance and archiving products. Apiax’s embedded compliance software applies regulatory rules at the point of business….
The Surveillance Challenge Behind an Increasingly Continuous Market
The shift towards 24/5 equities trading and the rapid growth of prediction markets are presenting new challenges for trade surveillance. With trading activity increasingly spanning multiple venues, instruments and time zones, identifying potential market abuse is becoming more complex, particularly where suspicious behaviour crosses traditional market boundaries. For surveillance technology providers, however, these developments don’t…
Financial Firms Confront the Next Phase of AI-Driven Compliance
Artificial intelligence is moving rapidly from experimentation into day-to-day compliance operations at financial institutions, changing not only how firms monitor communications and investigate potential breaches, but also the governance, data and skills they need to support those processes. That shift was evident during a private executive roundtable hosted by compliance recording specialist Luware at A-Team…
Governed Communication Intelligence: Why the Archive Was Never the Finish Line
By Ari Applbaum, VP of Marketing for LeapXpert. Business communication no longer stays within the channels companies own and control. Clients use WhatsApp, WeChat, iMessage and other consumer messaging apps as part of their daily lives. Employees meet them there because it is quick, familiar and often the simplest way to keep a relationship moving….
MCO Secures More Than $100 Million to Expand Compliance Platform and AI
MCO, the provider of MyComplianceOffice, has secured more than $100 million in growth financing from Accel-KKR Credit Partners to fund product development, artificial intelligence (AI) capabilities and market expansion. The company plans to expand its technology team and invest further in its integrated compliance platform. MyComplianceOffice brings together controls for employee activity, communications, financial transactions…
Behavox Appoints Former Macquarie Surveillance Head Rich Ziegenbalg as Executive Advisor
Behavox has appointed former Macquarie Group surveillance head Rich Ziegenbalg as Executive Advisor, adding three decades of banking experience to its work with compliance and surveillance teams. Ziegenbalg will advise Behavox customers and prospective clients on surveillance target operating models, control frameworks and programme maturity. He will also contribute to the company’s regulatory strategy, industry…
VoxSmart Adds Sales and Customer Engagement Leaders Following VX1 Launch
VoxSmart has appointed Royce Wilkie as Global Sales Director and Andy Faulknall as Head of Customer Engagement following the launch of its VX1 communications compliance platform. Wilkie will lead the company’s sales activity across its target financial markets. He brings more than a decade of experience working with asset managers and investment banks on communications…
VoxSmart Unifies Communications Compliance Workflows in VX1
VoxSmart has launched VX1, a communications compliance platform that brings mobile capture, surveillance, investigations, archiving, alert detection and voice transcription into a single interface. The platform is designed for investment banks, hedge funds and asset managers monitoring communications across voice, mobile and digital channels. The announcement cites WhatsApp and Bloomberg chat among the sources contributing…
Bloomberg Vault Adds AI Surveillance Models for Insider Dealing and Personal Trading
Bloomberg has expanded its Vault communications surveillance platform with AI policies for insider dealing and personal trading. The launch follows the integration of BSpeech, which converts recorded calls in more than 50 languages into searchable transcripts. The products extend Vault’s coverage across voice, email and chat. They also address the pressure that rising communications volumes…