Editor's pick
FCA Horizon Scan Calls for Collaboration on AI and Programmable Finance Risks
In a first-of-its-kind publication, the FCA’s Emerging Tech & Research team has published Emerging Technology Horizon Scan 2026, setting out how emerging technologies could combine to reshape financial services, market infrastructure and the control environment that supports trust in UK markets. The report is designed to foster debate and encourage collaboration across the financial services...
Top Blogs
ICMA and ISLA Push Basel III Debate Into Securities Financing
The International Capital Market Association (ICMA) and the International Securities Lending Association (ISLA) argue that US regulators should look more closely at how individual capital components contribute to overall exposure across repo, securities lending and derivatives markets in their Joint Response to Basel III NPR. The joint response uses two securities financing examples to make...
ESAs’ DORA Incident Report Highlights New Supervisory Focus on ICT Evidence
The first annual Report on major ICT-related incidents under the European Union’s Digital Operational Resilience Act (DORA) signals the transition from implementation readiness to supervisory evidence. The European Supervisory Authorities (ESAs) – the European Banking Authority (EBA), European Insurance and Occupational Pensions Authority (EIOPA), and European Securities and Markets Authority (ESMA) – reported 3,383 major...
The Compliance Challenge Shaping AI Adoption in Fixed Income
By Kevin Rutter, CEO, AIQ Markets. AI is rapidly becoming part of the buy-side technology stack. But before a portfolio manager can act on a recommendation or a trader can execute an idea generated by AI, firms must answer a more fundamental question: can they trust it? As buy-side firms move from experimentation toward production...
Latest briefs
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…
Sumsub Adds Agentic Compliance Configuration Through MCP Integration
Sumsub has launched a Model Context Protocol (MCP) integration and a suite of AI agent skills designed to let compliance teams use large language model-based agents to configure and manage verification workflows. The new capability allows teams to upload anti-money laundering (AML) policies or regulatory requirements to AI agents such as Claude, ChatGPT or other…
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…
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,…
ACA Group Appoints Trey Loughran as Chief Executive Officer
ACA Group has appointed Trey Loughran as chief executive officer and member of the board, as the governance, risk and compliance solutions provider prepares for its next phase with Genstar Capital as lead investor. Loughran succeeds Patrick Olson, who became CEO in May 2023. Olson will move into the role of vice chairman, where he…
EquiLend and Delta Capita Partner on Spire Implementation
EquiLend has entered a strategic partnership with Delta Capita to expand implementation support for EquiLend Spire, its securities finance platform. The arrangement gives EquiLend additional delivery capacity as adoption of Spire grows across the securities finance market. Delta Capita will act as an implementation partner for new client onboarding and platform upgrades, working within EquiLend’s…
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…
Regnology Finalizes Moody’s Acquisition as Reporting and Balance-Sheet Controls Converge
Regnology has completed its acquisition of Moody’s Regulatory Reporting & Asset and Liability Management Solutions business, adding another major transaction to a strategy that is taking the firm deeper into the intersection of regulatory reporting, risk, finance and balance-sheet management. The deal adds Moody’s capabilities across Basel III compliance, IFRS 9 impairment, large-bank asset and…
Qomply Brings Regulatory Intelligence Into AI Compliance Workflows
Qomply has launched QomplyAI, a new capability designed to make its regulatory intelligence available through AI assistants including ChatGPT, Claude and other Model Context Protocol-compatible clients. QomplyAI is intended to let reporting, compliance and oversight teams ask regulatory questions in natural language and receive structured answers that can support workflow decisions. Example use cases include…
Comply Sets Out MCP Layer for Agentic Compliance Workflows
Comply has announced general availability in May 2026 for its ComplyAI MCP Server, an enterprise-grade Model Context Protocol server designed to connect the firm’s compliance intelligence with major AI platforms used by financial services teams. The server is intended to let authorised compliance, advisor and operations users build custom AI agents in tools such as…
UAE Central Bank Taps Norbloc for Nationwide e-KYC Platform
The Central Bank of the UAE (CBUAE) is developing a nationwide electronic Know Your Customer (e-KYC) platform with Norbloc AB, creating a unified national approach intended to reduce duplicated ‘customer due diligence’ across the country’s financial sector. The initiative forms part of the CBUAE’s Financial Infrastructure Transformation (FIT) Programme and is designed to support more…
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…
DTCC and CME Secure Approval to Expand U.S. Treasury Cross-Margining for End Users
DTCC and CME Group have received approval from the SEC and CFTC to extend their U.S. Treasury cross-margining arrangement to end-user clients of dually registered broker/dealers and futures commission merchants that are common members of DTCC’s Fixed Income Clearing Corporation (FICC) and CME. The expanded service is due to go live on April 30 and…
CUBE Launches Certified Connector for Service Now
CUBE has launched a certified connector for ServiceNow Integrated Risk Management (IRM), making its regulatory intelligence and change management capabilities available within enterprise risk workflows. The integration is aimed at helping firms, particularly in highly regulated sectors such as financial services, connect regulatory updates and obligations more directly to compliance, risk and legal processes. The…
Latest people
Fenergo Names Lekshmi Nair as CRO
Client lifecycle management specialist Fenergo has appointed Lekshmi Nair as chief revenue officer to lead the global go-to-market organisation and commercial operations. Nair previously worked at Finastra, formerly Misys, where she held roles in software development, delivery, platform sales and enterprise leadership before serving as global chief revenue officer for lending. Based in London, Nair…
FinregE Appoints Paul Lyon to Lead Marketing and Communications
End-to-end regulatory operating system FinregE has appointed Paul Lyon as chief marketing and communications officer, creating a new executive role as the company looks to sharpen its market positioning during a period of growth. Based in London, Lyon will report to Rohini Gupta, chief executive officer, and lead FinregE’s communications, analyst relations, brand, marketing and…
Corlytics Appoints Lisa Miles-Heal as CEO to Drive Next Phase of Growth
Corlytics has appointed Lisa Miles-Heal as chief executive officer, effective June, as the Verdane-backed regulatory intelligence firm prepares for its next phase of international growth. Miles-Heal brings nearly two decades of executive experience in technology-led businesses. Most recently, she oversaw the transition of accounting compliance company Silverfin from a founder-led business into a Visma group…
Kalshi Names Sudhir Jain Compliance Chief as Prediction Markets Face Supervisory Scrutiny
Kalshi has appointed Sudhir Jain as chief compliance officer and head of regulatory affairs, adding derivatives-market supervisory experience as the prediction-market operator expands its institutional ambitions and faces a more contested regulatory environment. Jain joins from Patomak Global Partners, where he worked on derivatives, compliance and risk-management advisory matters after five years at the National…
Muinmos Adds Paul Ford as Investor and Board Advisor
Muinmos has appointed financial services entrepreneur Paul Ford as an investor and advisor to the Board, adding operational risk, RegTech and scaling experience as the firm looks to build out its AI-led compliance capabilities. Ford brings more than 25 years’ financial services and operational experience. He was Founder and CEO of Acin, the London-based RegTech…
CFTC Moves to Defend Federal Perimeter for Prediction Markets
The Commodity Futures Trading Commission (CFTC) has sued the State of Wisconsin after the state brought civil actions against Kalshi, Polymarket, Crypto.com, Robinhood and Coinbase over prediction market activity. The action, filed on 28 April 2026, extends a widening federal-state dispute over the regulatory treatment of event contracts. The CFTC argues that Congress gave the…
FIS and Anthropic Target AML Investigations with Agentic AI
FIS is working with Anthropic to bring agentic AI into banking operations, starting with a Financial Crimes AI Agent designed to support anti-money laundering investigations. The agent is intended to assemble evidence from bank systems, evaluate activity against known typologies and surface higher-risk cases for investigator review, with BMO and Amalgamated Bank among the first…
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…
DTCC Expands Board with Senior Market Structure, Treasury and Operations Leaders
The Depository Trust & Clearing Corporation (DTCC) has appointed four senior financial services executives to its Board of Directors, reinforcing governance oversight across market infrastructure, risk, and post-trade operations. The new appointees – Roland Chai (Nasdaq), Massimiliano Ciardi (Citadel), Stephen Hood (Marex), and Georges Lauchard (Barclays) – bring experience spanning exchange operations, treasury and funding,…
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…
Featured
FEATURED WEBINAR
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…
FEATURED EVENT
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.
FEATURED GUIDE
AI in Capital Markets Handbook 2026
AI adoption in capital markets has moved into a more disciplined phase. The priority is now controlled deployment: where AI can be used safely, where it can deliver measurable value, and how outputs can be governed, monitored and evidenced. The 2026 edition of the AI in Capital Markets Handbook examines how AI is being applied…
Top White Papers
The Future of AI in Compliance Recording
In an era of escalating regulatory pressure, financial institutions can leverage artificial intelligence (AI) and large language models (LLMs) to transform compliance from a cost burden into a strategic competitive advantage. These technologies, applied to sophisticated monitoring systems, generate structured, high-quality data at scale, converting what was once a static compliance archive into a source...
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...
Events and webinars
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...
RegTech Summit London
Now in its 10th year, RegTech Summit London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to innovate the compliance function and response.
Find out more
RegTech Summit New York
Now in its 10th 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
A-Team Innovation Awards
We are thrilled to unveil the winners of the 2026 A-Team Innovation Awards. These awards celebrate successful projects within financial institutions (both with vendor support and without) across the financial enterprise.
