RegTech Insight Market Surveillance & Conduct The latest content from across the platform
AI in Compliance Recording: Five Questions Firms Need to Answer Now
For capital markets firms, the regulatory communications archive has become more complex as trading and client interactions now span voice, chat, collaboration tools, mobile channels and more, requiring firms to capture, structure, retain and evidence a fuller communications trail across fragmented systems. This complexity is forcing firms to look beyond recording as a retention obligation…
Symphony Extends Secure Messaging Into AI, Voice Assurance and Off-Channel Controls
Symphony is growing beyond its origins in secure messaging as financial institutions look for controlled ways to connect workflows, communication channels, voice data and AI across regulated markets. In a recent interview with RegTech Insight, CEO Ben Chrnelich framed the development around infrastructure already embedded in the Symphony network: directory, identity, permissions, encryption and connectivity….
A-Team Group Announces Winners of RegTech Insight Awards Europe 2026
A-Team Group has announced the winners of its RegTech Insight Awards Europe 2026. The awards recognise both established providers and innovative newcomers providing RegTech solutions to capital market participants that significantly improve their ability to respond effectively to evolving and increasingly complex regulatory requirements. This year’s RegTech Insight Awards Europe included categories spanning the regulatory…
Holistic Conduct & Surveillance: Unifying Trade, Voice, and eComms Data with AI
Holistic surveillance is moving beyond data integration towards an operating model that can surface cross-channel evidence, assign escalation ownership, govern approved channels, organise analysts around risk and keep AI-supported triage accountable to experienced human review. That was the central message of A-Team Insight’s recent webinar, Holistic Conduct & Surveillance: Unifying Trade, Voice, and eComms Data…
Recorded Webinar: Holistic Conduct & Surveillance: Unifying Trade, Voice, and eComms Data with AI
Surveillance in capital markets has evolved in silos. Trade surveillance, voice recording, and electronic communications monitoring have traditionally operated as parallel control functions, each with distinct datasets, workflows and alerting logic. Yet recent enforcement actions on both sides of the Atlantic – ranging from off-channel communications failures to market manipulation cases – demonstrate a consistent…
Don’t Misread a Shift in Regulatory Tone – Global Relay
US regulators may be stepping back from the penalty-led off-channel communications sweeps that defined recent enforcement cycles, but that does not mean firms can ease up on surveillance or record-keeping controls. The shift under new leadership at the SEC and CFTC should be reviewed as a change in enforcement emphasis: fewer technical cases pursued in…
Eventus Names Cameron Routh CEO as Surveillance Vendor Prepares for Next Growth Phase
Eventus has appointed Cameron Routh as chief executive officer, placing a financial technology executive with more than two decades of experience in software and data businesses at the head of the trade surveillance and financial risk technology provider. Routh succeeds founder Travis Schwab, who has led Eventus for 11 years and overseen the development of…
FCA Market Soundings Review Puts Pre-Deal Controls Under Scrutiny
The Financial Conduct Authority (FCA) has used its multi-firm review of market soundings in UK equity capital markets (ECM) to evaluate how a long-established issuance practice affects market quality, information control and investor targeting. The review covered 63 ECM transactions in UK listed shares between January 2023 and June 2025, including fifty accelerated bookbuilds (ABBs)…
Mizuho Securities Adopts Behavox for AI-Powered Communications Surveillance
Mizuho Securities has implemented Behavox Quantum AI for communications surveillance, extending monitoring across chat and email in Japanese, English and other languages. The deployment points to strategic advancement from standalone surveillance tools towards more integrated control environments, where communications monitoring sits alongside trade surveillance, data retention and policy management. At Mizuho Securities, the project appears…
Shield Advances Archive Modernization with Tiering and Migration Enhancements
Shield has updated its archive platform with a set of enhancements aimed at addressing a long-standing operational problem for financial institutions: how to modernise legacy communications archives without introducing migration risk, increasing storage costs or weakening compliance controls. This latest release focuses on three areas – storage optimisation, large-scale migration and expanded governance – reflecting…