RegTech Insight Regulations The latest content from across the platform
From Awareness to Execution: Closing the Regulatory Compliance Implementation Gap
By Jordan Domash, Founder and CEO, Responsiv. Even under a ‘regulation light’ administration, more than 1,400 new Federal executive orders, final rules, and proposed rules have emerged in 2025 alone. Layer on every potential state and international change, there’s a lot to sift through. Regulatory teams must then take these often-dense legal texts and quickly…
UK FCA DC Outpost Signals Deeper Global Regulatory Cooperation
Britain’s financial watchdog is officially setting up shop in the United States. In a bid to strengthen transatlantic regulatory ties, the UK Financial Conduct Authority (FCA) has stationed a senior official at the British Embassy in Washington, D.C., marking the first time the FCA has established a physical presence on U.S. soil – see FCA…
A (Free) Practical AI Handbook for Capital Markets Professionals
Artificial Intelligence (AI) has swiftly transitioned from a promising concept into an operational reality across the capital markets. Senior executives, compliance leaders, and technology specialists are already well-acquainted with the potential of AI to streamline processes, enhance decision-making, and open new competitive opportunities. Yet, the current challenge isn’t about grasping AI’s transformative potential – it’s…
AI in Capital Markets: Practical Insight for a Transforming Industry – Free Handbook
AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond…
Consulting Meets Law: Squire Patton Boggs Adds Financial Crime Specialists Taccogna & Webb
Squire Patton Boggs has expanded its Financial Services Practice Group in London by welcoming two seasoned professionals, Federica Taccogna and Nigel Webb, both formerly co-heads of the Governance, Risk and Regulation practice at Interpath Advisory. Taccogna joins as a principal, while Webb takes on the role of senior advisor. Taccogna brings over two decades of…
AI in Finance: Key Insights from the SEC’s Landmark 2025 Roundtable
In late March, the U.S. Securities and Exchange Commission (SEC) hosted a landmark roundtable on artificial intelligence (AI) in financial services. Held in Washington, D.C., the event brought together regulators, technologists, market participants, and legal experts to explore the evolving landscape of AI – from transformative innovation to systemic risk. This wasn’t about rulemaking –…
Upcoming Webinar: Managing Off-Channel Communications Compliance
The proliferation of unmonitored communication channels—ranging from personal messaging apps to embedded chat functions in trading platforms—has introduced significant compliance challenges for capital markets firms. Regulatory bodies including the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have intensified their scrutiny, emphasizing the necessity for firms to maintain comprehensive records of…
Data Concern Over EU’s Streamlining of Green Regulations
Financial institutions may have to rely more heavily on their data teams and vendors to surface sustainability risks in their portfolios after the European Union watered down some of its key corporate ESG reporting regulations. The EU’s Omnibus package announced earlier this year is intended to streamline the compliance processes for regulations including the Corporate…
Navigating Divergent AI Regulation – Can Standards Bring Clarity?
Artificial intelligence is transforming financial services, from automating credit assessments to streamlining compliance processes. But while AI capabilities are developing at pace, regulatory frameworks are struggling to keep up. Nowhere is this more apparent than in the contrasting approaches taken by the European Union and the United Kingdom. The EU has opted for a rules-heavy,…
SIX Rolls Out Data Service to Help Institutions Navigate Digital Asset Rules
Swiss based financial services and market infrastructure provider SIX Group as introduced a new data package designed to help financial institutions better understand their exposure to digital assets amid a rapidly changing regulatory landscape. The Digital Assets Regulatory and Tax Service provides a consolidated view of evolving obligations, aiming to support compliance efforts as digital…