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Regulatory Volatility Offers Opportunity to Mine Value from Compliance Data
A new era of regulatory change is presenting institutions with a golden opportunity to prosper from the troves of data they need to comply with reporting obligations. Information required by market overseers has value that goes beyond its obligatory use in disclosures and companies that put it to wider use stand to gain a competitive…
Recorded Webinar: Best practice approaches to data management for regulatory reporting
Effective regulatory reporting requires firms to manage vast amounts of data across multiple systems, regions, and regulatory jurisdictions. With increasing scrutiny from regulators and the rising complexity of financial instruments, the need for a streamlined and strategic approach to data management has never been greater. Financial institutions must ensure accuracy, consistency, and timeliness in their…
Recorded Webinar: Managing Off-Channel Communications Compliance
Managing off-channel communications – business interactions occurring outside of approved corporate systems – continues to challenge firms’ compliance efforts. The rise of personal messaging apps, social media, and other unmonitored channels – for example, messaging functionality embedded in an order management system – exposes firms to substantial regulatory risk. Enforcement actions by regulatory bodies, such…
From AI Sprint to AI Live Testing – FCA Leads the Way
The UK Financial Conduct Authority (FCA) recently published its Proposal For AI Live Testing engagement paper outlining a 12-month pilot inside the regulator’s AI Lab. This is designed to enable firms with production-ready AI models to trial them in controlled live-market conditions, under close FCA technical and supervisory support, exploring output-driven validation, model-risk safeguards and…
8 Best Practices for Regulatory Data Management and Reporting – Upcoming Webinar
Over the past three years, regulatory data management and reporting have presented financial institutions globally with an escalating set challenges. Amongst these, the inadequacy of data governance frameworks has seen significant enforcement actions against tier-1 firms. In a joint OCC/Federal Reserve action in 2024, Citigroup faced a $135.6 million fine for persistent deficiencies in risk…
ACA Insights from FCA 2024 STORS Report (Insider Dealing Dominates)
In March, the UK Financial Conduct Authority (FCA) published its annual breakdown of suspicious transaction and order reports (STORs) filed during 2024. The headline figure – 4,528 STORs received – reflects continued vigilance in monitoring for potential market abuse. While the volume remains largely consistent with previous years, the detailed breakdown offers valuable insights for…
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 Hurdles, Expertise Loss Hampering BCBS 239 Compliance
A combination of data management hurdles, talent shortages and poor succession planning are bedevilling banks as they struggle to respond to a long-standing risk data aggregation directive – even after repeated European Central Bank (ECB) criticism of their compliance shortfalls. The Basel Committee on Banking Supervision’s Principles for effective risk data aggregation and risk reporting…
November 2025 Deadline for ISO 20022: Are We Ready?
Global payment networks are undergoing a fundamental transformation as the financial industry transitions to ISO 20022 – a structured messaging standard designed to replace legacy formats and drive interoperability. In capital markets and treasury operations, this shift is most evident in the SWIFT cross-border payments network and high-value systems like the U.S. Fedwire. SWIFT’s Cross-Border…
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…