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Beyond the Balance Sheet: Operationalising Non-Financial Misconduct under SMCR
The integration of Non-Financial Misconduct (NFM) – encompassing behaviours such as harassment, discrimination, and bullying – into the Senior Managers and Certification Regime (SMCR) marks an important step in UK financial services regulation. A webinar, Managing Non-Financial Misconduct Under SMCR, hosted by A-Team Group, offered senior practitioners insights into operationalising these expectations, covering legal alignment,…
Recorded Webinar: Managing Non-Financial Misconduct Under SMCR
Non-financial misconduct – encompassing behaviours such as bullying, sexual harassment, and discrimination is a key focus of the Senior Managers and Certification Regime (SMCR). The Financial Conduct Authority (FCA) has underscored that such misconduct is not only unethical but also poses significant risks to a firm’s culture and operational integrity. Recognizing the profound impact on…
What the SEC’s New Treasury Clearing Rule Means for Dealers and Buy-Side Firms
Since December 2023, the Securities and Exchange Commission (SEC) has been steering the U.S. Treasury market toward a structural shift: mandating central clearing for broad categories of cash and repo trades in U.S. Treasuries. The objective is clear, reducing counterparty risk, improving transparency and operational resilience. But the transition presents several challenges that have yet…
From Batch to Real-Time: LSEG Reinvents AML Screening with World-Check On Demand
As financial institutions accelerate toward real-time payments and digital onboarding, compliance teams face mounting pressure to keep customer screening instant, accurate and demonstrable. In response, the London Stock Exchange Group (LSEG) has introduced World-Check On Demand – a new cloud-based service designed to deliver “real-time risk intelligence” through API integration, allowing institutions to embed sanctions…
Behavox’s Case for Explainable AI in Compliance – Trust, not Magic
When compliance teams hear “AI,” enthusiasm is often tempered by unease. The promise of automation is tempered by the reality of black-box models, hallucinations, privacy risks, and the nagging question of whether the technology will meet regulators expectations. Behavox, a Montreal- and London-based RegTech, is seeking to bridge that trust gap with its latest release:…
Kaizen Unveils MAR360 to Tackle Market Abuse Risk with Integrated Surveillance and Training
Kaizen has unveiled MAR360, a new compliance suite aimed at helping financial institutions manage the complex challenge of detecting and preventing market abuse. The release reflects a growing regulatory push to tighten controls and ensure firms can demonstrate robust frameworks to supervisors. The suite brings together three elements: a market abuse risk assessment tool, trade…
Qomply Brings in Former FCA Regulator to Drive Global Growth
Qomply has strengthened its leadership team with the appointment of Neil Treloar as Chief Operating Officer, underscoring its ambition to scale internationally in regulatory reporting. Based in London, Treloar joins at a pivotal point in the firm’s expansion, bringing a rare combination of supervisory, policy and market experience. Treloar’s career spans more than three decades…
From Sandbox to Scale-Up: How the FCA Plans to Shape UK Fintech Growth
In her address at Merchant Taylors’ Hall on 17 September 2025, Jessica Rusu, the FCA’s Chief Data, Information and Intelligence Officer, set out a comprehensive programme of initiatives underpin the regulator’s growth and innovation agenda. The speech, “Regulating for growth – the future is now”, presented four central pillars: strengthening crypto oversight, advancing artificial intelligence…
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,…
Navigating the Future of Regulatory Reporting: Insights from Industry Leaders
The landscape of regulatory reporting in capital markets is in constant flux, shaped by technological change, evolving compliance demands, and industry cost pressures. A recent webinar, Best Approaches for Trade and Transaction Reporting, hosted by A-Team Group in September 2025 and sponsored by the Derivatives Service Bureau, brought together senior RegTech executives and compliance practitioners…