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Upcoming Webinar: Best practices for regulatory reporting
Date: 16 July 2024 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Regulatory reporting is a repetitive, time consuming and expensive business. At its best it requires robust data governance, automated data collection and reporting, standardised reporting formats, a centralised reporting system and a means to monitor and review regulatory change….
Upcoming Webinar: Best practices for compliance with EU Market Abuse Regulation
Date: 18 June 2024 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes EU Market Abuse Regulation (MAR) came into force in July 2016, rescinding the previous Market Abuse Directive and replacing it with a significantly extended scope of regulatory obligations. Eight years later, and amid constant change in capital markets regulation,…
Upcoming Webinar: How to leverage Generative AI and Large Language Models for regulatory compliance
Date: 8 May 2024 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Generative AI (GenAI) and Large Language Models (LLMs) offer huge potential for change across capital markets, not least in regulatory compliance where they have the capability to help firms understand and interpret regulations, automate compliance, monitor transactions in real…
Dow Jones Risk & Compliance Deploys Generative AI to Transform Due Diligence
Dow Jones Risk & Compliance has launched an AI-powered research platform to help clients reduce the time and effort in building investigative due diligence reports from multiple sources. The new offering aims to reshape compliance workflows, creating an additional layer of investigation that can be deployed at scale. Dow Jones Integrity Check is an automated…
T+1 and Voice Analytics to Feature at Symphony Innovate 2024 (NYC)
A-Team Group recently caught up with Ben Chrnelich, President and CFO of Symphony Communications to discuss how their Enterprise Collaboration and Workflow platform is helping firms prepare for T+1 – which goes live on May 28, and the significant uptick in e-comms messaging volume over their Federated Communications offerings. Both of these core offerings will…
ValidMind Secures $8.1 Million for Model Risk Management and AI Governance Solutions Development
ValidMind has secured $8.1 million in a seed funding round. The investment will focus on developing model risk management and AI governance within the banking and financial services sectors. The company says the seed round was over-subscribed, demonstrating support from investors in its long-term vision to be the certifying authority for all AI solutions, starting…
NICE Actimize ARCHIVE-X Offers Single Source Regulatory Record Keeping
NICE Actimize has released ARCHIVE-X, a cloud-based, all communications archiving and records management solution that provides buy-side, sell-side and online trading platforms with one solution to support regulatory requirements for communications archiving and records management. The aim is to help financial institutions achieve more robust records lifecycle management and reduce compliance risk by archiving all…
Global Screening Services Raises $47 Million, Moves into Operational Phase
Global Screening Services (GSS), a provider of transaction screening, has completed a Series A2 funding round raising over $47 million (£37 million). The investment will support the London-based company’s transition from a development to operational phase as its cloud-native platform prepares to go live with inaugural clients. Originally incubated by AlixPartners, GSS tackles the complexity…
Baader Bank Selects Broadridge for Regulatory Trade and Transaction Reporting
Baader Bank has extended its relationship with Broadridge Financial Solutions with an agreement to use the vendor’s regulatory trade and transaction reporting solution to ensure a more unified and comprehensive regulatory reporting framework. The bank already uses Broadridge’s front- and middle-office solutions for order management, trading and market connectivity. Baader Bank offers asset classes including…
Best Practice Approaches to Trade Surveillance for Market Abuse
In 2023, Openmarkets Australia was fined the largest ever penalty imposed by the?Australian Securities and Investments Commission (ASIC) of $4.5 million. Among other observations, the regulators noted that Openmarkets had not appropriately calibrated its post-trade surveillance system and that this resulted in an unmanageable volume of alerts, most of which were not reviewed. “This outcome…