Editor's pick
Democratising Surveillance: Why Culture Is the Real Compliance Challenge
Institutional culture has always been the defining constraint for effective compliance across capital markets and treasury. Boards may approve ever-larger budgets for surveillance technology and artificial intelligence, and regulators may intensify scrutiny of governance, risk, and compliance frameworks, yet the hardest variable to control remains behavioural norms and internal incentives. For many organisations, the question...
Top Blogs
Reframing Corporate KYC: Encompass Targets Back-Book Exposure with Scalable EC Review
For many SME focussed banks, KYC investments have streamlined the onboarding journey but legacy KYC records – the back-book – often remain dormant until a regulatory inspection, or an enforcement case at a peer institution, forces a wholesale review. The challenge that follows is how to remediate at scale, with urgency, and without the need...
When 1% Breaks the Fund: The Sanctions Contagion Facing ETF Issuers
Roy Kirby, Head of Core Products at SIX Group, has spent the past four years watching sanctions transform from episodic geopolitical tools into a structural feature of market risk. In sharing insights with RegTech Insight, he sets out how the acceleration and layering of sanctions since 2022 are reshaping compliance obligations for ETF issuers and,...
Introducing Market & Alt Data Insight: Advancing the Industrialisation of Data in Financial Markets
Financial markets are entering a new phase in the evolution of data. Data has always underpinned trading and investment workflows. What has changed is the scale, diversity and strategic management of that data across the enterprise. Traditional market data, alternative signals, derived datasets and AI-generated features now sit on the same operational continuum. The strategic...
Latest briefs
Grant Thornton UK Modernises Client Onboarding with Fenergo CLM
Grant Thornton UK is moving to modernise its client onboarding and due diligence processes through the deployment of Fenergo’s client lifecycle management (CLM) platform. The initiative reflects a broader shift among professional services firms toward centralised onboarding architectures that bring know-your-customer (KYC), due diligence and engagement acceptance into a unified workflow. The new platform is…
TransferMate Completes Global Rollout of Vivox AI’s Next Generation KYB Automation
TransferMate has completed the global rollout of Vivox AI’s automation platform for Know Your Business (KYB), embedding explainable AI agents into its onboarding and due diligence workflows. The move follows a period of expansion across Asia Pacific and other regions, where rising onboarding volumes placed pressure on compliance operations. For a payments infrastructure provider operating…
CUBE Acquires Silicon Valley RegTech, 4CRisk, Delivering Next Generation Compliance and Risk Mapping Automation
CUBE has expanded its regulatory technology footprint with the acquisition of 4CRisk.ai, a Silicon Valley-based RegTech focused on AI-driven policy and control mapping. The move brings together CUBE’s Automated Regulatory Intelligence (ARI) and Regulatory Change Management (RCM) capabilities with 4CRisk’s agentic AI platform, which maps corporate policies and procedures directly to regulatory obligations, controls and…
ICE Benchmark Administration Recognised by ESMA Under EU Benchmarks Regulation
Intercontinental Exchange (ICE) said that the European Securities and Markets Authority (ESMA) has granted recognition to ICE Benchmark Administration Limited (IBA) as a third-country benchmark administrator under Article 32 of the EU Benchmarks Regulation. “IBA is pleased to have been granted recognition by ESMA,” said Clive de Ruig, President of ICE Benchmark Administration. “This decision…
Symphony Accelerates AI Integration and Announces Leadership Changes
Symphony is advancing its secure AI and workflow capabilities following a year of significant growth. The company, serving over 1,400 clients, has introduced the AI Agent Studio, a framework designed to let institutions create and deploy AI agents for internal and external workflows. This new tool leverages Symphony’s verified directory and compliance infrastructure, allowing firms…
Cosegic Acquires FINTRAIL
Cosegic has acquired FINTRAIL, a specialist financial crime consultancy, adding depth to its financial crime and regulatory risk capabilities. FINTRAIL advises firms on financial crime risk management, regulatory compliance, and controls design across banking, payments, fintech, and digital assets. Its entire team will join Cosegic, expanding the scale of specialist expertise available to clients across…
FCA Extends UK Equity Consolidated Tape Consultation
The Financial Conduct Authority (FCA) has extended the deadline for its consultation on the proposed framework for the UK Equity Consolidated Tape. The consultation period for CP25/31 will now close on 13 February 2026, providing market participants with additional time to respond. CP25/31 sets out the regulatory architecture for a UK equity consolidated tape, including…
Simplifying AML for Mutuals: Napier AI and Mutual Vision’s Sector-Focused Approach
Napier AI and Mutual Vision have partnered to address a long-standing gap in financial crime compliance technology for building societies and credit unions, launching a sector-specific platform designed around the operational realities of mutual companies in the UK and Canada. The result, MV Shield – Powered by Napier AI, is positioned as a compliance-as-a-service platform…
Cerberus Selects Behavox for AI-Native Comms Surveillance
Cerberus Capital Management has selected Behavox to support its communications surveillance programme, adding AI-driven monitoring across voice, chat and email as part of a broader compliance controls strategy. The deployment centres on Behavox Quantum, an AI-native surveillance capability designed to operate across multiple communication channels and languages. Within Cerberus, it will sit alongside other elements…
FMO Taps Fenergo to Modernise KYC and Onboarding Across Emerging-Market Portfolios
Dutch development bank FMO has selected Fenergo to modernise its client onboarding and know-your-customer operations, as it looks to streamline compliance across a diverse portfolio of investments in emerging markets. The bank is deploying Fenergo’s client lifecycle management (CLM) platform alongside its Document Agent capability, with the objective of accelerating onboarding timelines, improving transparency, and…
Encompass Establishes Executive Advisory Board to Support CDI and KYC Strategy
Encompass has formed an Executive Advisory Board (EAB) as it looks to strengthen the strategic direction of its Corporate Digital Identity (CDI) platform and its application across KYC and compliance workflows. The board is intended to provide senior-level insight as Encompass expands internationally and responds to growing regulatory, data, and technology pressures facing financial institutions….
ID-Pal Acquires KYB Specialist NorthRow
Dublin based ID-Pal recently acquired Know Your Business (KYB) specialist NorthRow , extending its identity verification platform to cover both individual and corporate risk within a single compliance framework. The move brings native KYB checks into ID-Pal’s existing KYC and AML offering, responding to growing regulatory pressure for firms to maintain an ongoing view of…
Trillium Surveyor Extended for Prediction Markets
Trillium Surveyor has gone live with trade surveillance for prediction markets, positioning the firm’s controls toolkit for a segment that has moved quickly from niche curiosity to a retail-facing, high-velocity “event contract” market. The backdrop is a fast-evolving regulatory perimeter. US event contracts that are listed as derivatives on registered venues sit within the CFTC’s…
Chartis Ranks Kyckr a Category Leader for 2025, Highlighting Strength in Corporate Structure and UBO Data
Kyckr has again been recognised by Chartis as one of the leading providers of Know Your Customer (KYC) data, reinforcing the company’s role in a market increasingly shaped by real-time, authoritative entity information. The latest Chartis RiskTech Quadrant for KYC Data and Solutions places Kyckr in the Category Leader tier for the second year running,…
Behavox Secures ISO/IEC 42001 Certification as AI Governance Expectations Rise
Behavox has earned certification to ISO/IEC 42001:2023, the first international standard for Artificial Intelligence Management Systems (AIMS). The certification, independently validated by Prescient Security, reflects the company’s efforts to formalise responsible, transparent and risk-based AI practices across its product ecosystem. The standard is designed to help organisations structure and oversee the entire AI lifecycle—from design…
Latest people
Funds-Axis Strengthens Operations as It Scales Internationally
Global investment manager RegTech provider Funds-Axis has appointed Chris Machin as Chief Operating Officer, a move that signals a shift from build-phase momentum to operational scale. The London-based regulatory technology and investment compliance specialist is positioning itself for disciplined international growth, with Machin tasked to lead the operational architecture behind that expansion. The firm describes…
UK Appoints Barclays Policy Chief Katharine Braddick as Banking Watchdog
Katharine Braddick will succeed Sam Woods when his term concludes in June 2026 as the next Deputy Governor for Prudential Regulation and Chief Executive of the Prudential Regulation Authority (PRA). The role carries direct responsibility for supervising banks, building societies, insurers and major investment firms. The role is also charged with shaping how prudential standards…
Leadership Change at OneTrust Signals Next Phase of AI-Ready Governance Strategy
Atlanta based regulatory solutions company OneTrust has appointed John Heyman as chief executive officer, marking a leadership transition as the company positions itself for its next phase of growth in data and AI governance. Founder Kabir Barday will remain involved in a strategic advisory capacity through his role on the board. The change follows what…
Kaizen RegTech Group Refines Leadership Roles to Support Continued Growth
Kaizen RegTech Group has adjusted leadership responsibilities within its existing structure as the business scales across regulatory reporting and related services. Dario Crispini remains Group Chief Executive Officer, retaining responsibility for overall strategy and growth, while continuing to lead regulatory reporting product development and innovation and staying closely engaged with clients and market initiatives. As…
ThetaRay Names Brad Levy CEO as AI Becomes Core to Financial Crime Compliance
ThetaRay has appointed Brad Levy as Chief Executive Officer, marking a leadership transition as the firm moves into its next phase of growth in AI-driven financial crime compliance. Levy joins from Symphony, where he led one of the financial sector’s most widely adopted market infrastructure platforms, and brings long-standing experience in scaling mission-critical technology across…
Innovative Systems Appoints Regional Heads to Scale its Global Partner Ecosystem
Innovative Systems is expanding how it works with partners as part of its next phase of growth, appointing two regional leaders to coordinate and develop its partner ecosystem across the Americas and EMEA. The company’s partner strategy now centres on tighter collaboration with data providers, orchestration platforms, systems integrators, core technology platforms embedded within FinScan…
Droit Appoints RegTech Veteran to Boost European Sales Amid Accelerating Global Regulatory Change
Droit has brought in experienced RegTech specialist Jean-Marie Mamodesen to help the firm deepen its engagement with European financial institutions at a time when regulatory change is accelerating across global markets. Joining the London office, Mamodesen takes on the role of Regional Sales Director for Continental Europe. With more than two decades in regulatory reporting,…
Droit Appoints RegTech Veteran to Boost European Sales Amid Accelerating Global Regulatory Change
Droit has brought in experienced RegTech specialist Jean-Marie Mamodesen to help the firm deepen its engagement with European financial institutions at a time when regulatory change is accelerating across global markets. Joining the London office, Mamodesen takes on the role of Regional Sales Director for Continental Europe. With more than two decades in regulatory reporting,…
FinScan Expands AML Innovation Leadership with New Strategic Hires
FinScan has strengthened its leadership in anti-money laundering (AML) technology with two senior appointments aimed at advancing product innovation and regulatory alignment. Becki LaPorte joins as Principal, AML Strategy and Innovation, while Christopher Ostrowski becomes Product Management Leader – both bringing deep experience in financial crime prevention and compliance operations. LaPorte will focus on shaping…
Tom Edwards Named Exec. Chair at Ubisecure
Ubisecure has named veteran fintech executive Tom Edwards as its new Executive Chair, a move designed to sharpen the company’s focus on RegTech, digital identity and global compliance services. The appointment takes effect immediately, positioning Edwards to steer Ubisecure’s strategic growth and deepen ties with banks, institutions and technology partners worldwide . Drawing on his…
Napier AI Appoints Kenneth Paqvalén as Chief Financial Officer
Napier AI has appointed Kenneth Paqvalén as Chief Financial Officer as the RegTech firm prepares for its next phase of international growth. His arrival follows the company’s recent acquisition by private equity firm Marlin Equity Partners, a move that signals increased momentum behind Napier AI’s push to scale its anti-money laundering (AML) technology across global…
Kaizen Appoints Michael Leach Chief Revenue Officer
Kaizen has appointed Michael Leach as its new Chief Revenue Officer. Leach joins from the London Stock Exchange Group, where he was instrumental in building UnaVista—now LSEG Regulatory Reporting Solutions—into a global brand. As one of UnaVista’s original founders, he brings deep expertise in regulatory reporting and sales leadership. In his new role, Leach will…
Validus’s CTO Hire Signals Push for Scalable, Integrated Risk Solutions
Validus Risk Management is deepening its technical leadership as it extends its footprint across Asia, Europe and North America. In June 2025 the firm appointed Daniel Johnson as Chief Technology Officer, charging him with shaping a unified technology strategy to support rapid scale-up and feature development. This move follows a $45 million growth equity injection…
DTCC Appoints New Chief Information Security Officer (CISO)
The Depository Trust & Clearing Corporation (DTCC) has appointed Laura Deaner as its new Chief Information Security Officer (CISO). Deaner, who will report directly to Chief Information Officer Lynn Bishop, brings over 25 years of experience managing information security and cybersecurity programs. In her new role, Deaner will oversee DTCC’s comprehensive cybersecurity strategies designed to…
Qomply Taps Veteran Sales Leader Steven Stewart to Steer US-UK Growth
RegTech firm Qomply has hired Steven Stewart as its new Strategic Commercial Director, tasking him with sharpening the company’s expansion strategy across the United States and the United Kingdom. Stewart brings 25 years of international sales leadership, most recently as Executive Vice President at Trading Technologies, where he helped build a platform used by many…
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FEATURED WEBINAR
Recorded Webinar: Sponsored by FundGuard: NAV Resilience Under DORA, A Year of Lessons Learned
The EU’s Digital Operational Resilience Act (DORA) came into force a year ago, and is reshaping how asset managers, asset owners and fund service providers think about operational risk. While DORA’s focus is squarely on ICT resilience and third-party dependencies, its implications extend deep into core operational processes that are critical to market integrity, investor…
FEATURED EVENT
RegTech Summit New York
Now in its 9th year, the RegTech Summit in New York will bring together the RegTech ecosystem to explore how the North American capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.
FEATURED GUIDE
Regulatory Data Handbook 2025 – Thirteenth Edition
Welcome to the thirteenth edition of A-Team Group’s Regulatory Data Handbook, a unique and practical guide to capital markets regulation, regulatory change, and the data and data management requirements of compliance across Europe, the UK, US and Asia-Pacific. This year’s edition lands at a moment of accelerating regulatory divergence and intensifying data focused supervision. Inside,…
Top White Papers
Reclaiming Value in a Shifting Legal Landscape: The 2025 Top 100 Settlements Analysis
While 2025 saw its challenges, the year ended on a high for securities litigation in the US marketplace, raising the prospect of an expanded rebound in 2026. The latter part of the year saw four settlements that exceeded $200million in value in addition to a single, significant settlement reaching $740million, providing a late-year boost to...
Electronic Communications Monitoring: Leveraging AI for More Effective Surveillance
The proliferation of electronic communications channels available to financial professionals and their clients has created a headache for compliance teams charged with mitigating against market abuse, insider trading and other illegal activities. In an era of heighted regulatory scrutiny, compliance teams are finding it challenging to put in place the appropriate systems and processes, particularly...
Securities Litigation in EMEA Comes of Age: Your Guide to Complex EMEA Securities Litigation
Navigating the complex and increasingly active securities litigation landscape across Europe, the Middle East, and Africa, remains a thorny challenge for investment management operations teams. Unlike North America, where virtually all investors passively await settlements, EMEA is characterised by active litigation, frequently confidential settlements, and the fact that many jurisdictions in EMEA are still grappling...
Events and webinars
AI in Capital Markets Summit London
Now in its 3rd year, the AI in Capital Markets Summit returns with a focus on the practicalities of onboarding AI enterprise wide for business value creation. Whilst AI offers huge potential to revolutionise capital markets operations many are struggling to move beyond pilot phase to generate substantial value from AI.
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RegTech Summit London
Now in its 9th year, the RegTech Summit in London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.
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RegTech Summit New York
Now in its 9th year, the RegTech Summit in New York will bring together the RegTech ecosystem to explore how the North American capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.
Find out moreAwards
RegTech Insight Awards USA
A-Team Group has announced the winners of its RegTech Insight Awards - USA 2025. These awards celebrate providers of leading RegTech solutions, services and consultancy and are uniquely designed to recognise both start-up and established providers who are creatively finding solutions to help with regulatory challenges, and span a wide range of regulatory requirements.
