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FCA Off-Channel Comms Survey Reveals 41% Senior-Level Incidents
On 7 August 2025, the UK Financial Conduct Authority (FCA) published its multi-firm review into off-channel communications across 11 wholesale banks. Eight of the firms disclosed 178 breaches of their own internal policies over the previous 12 months, with 41% of recorded incidents involving individuals at director grade or above. The FCA stresses that a…
AI in Action: 11 Firms Rewiring Compliance for Speed, Clarity and Control
Regulatory change isn’t slowing, and neither is the demand for defensible decisions. Compliance teams need tools that are clear about what they do, how they’re governed, and where their limits are. LLMs and agentic AI in compliance will feature in A-Team Group’s RegTech Summits in London (16 October) and New York City (20 November) with…
The Data Backbone of Defence: Powering Next Generation Surveillance
A unified data fabric is fast becoming wholesale finance’s front line of defence. By fusing millions of voice calls, chat messages and trade records into a single analytical view, next generation surveillance promises to detect misconduct in minutes and to satisfy regulators who increasingly ask firms to prove that capability. A-Team Group RegTech Summits in…
EU’s AI Act Loads Data Responsibilities on Institutions but also Offers Opportunities
Financial institutions are under pressure to put their data estates in order as the European Union’s artificial intelligence regulation comes into force this week, threatening huge fines for failures to observe its tough rules on the safe and fair use of the technology. Nevertheless, the introduction of stringent measures that will place new compliance burdens…
Behavox Intelligent Archive: Cutting Compliance Investigation Times by 40%
Earlier this month, Behavox revealed its Intelligent Archive product, an AI-driven platform designed to collapse the barriers between voice, chat and trade data into a single, cloud native repository, had significantly reduced compliance investigation times. Early adopters report up to a 40 % reduction in investigation cycle times, alongside as much as a 52 %…
FCA Derivatives Trading Obligation: Why GRC Teams Should Watch Article 28a Closely
The FCA’s latest announcement on the UK derivatives trading obligation (DTO) landed quietly on July 17, but its impact is more than a short web statement. By invoking its brand-new power of direction under Article 28a of onshored MiFIR, the regulator has replaced the post Brexit Temporary Transitional Power (TTP) transitional regime with a standing…
Regulators Stay Tough: Why Surveillance Matters in 2025
By Paul Cottee, Director, Regulatory Compliance, NICE Actimize. A common question has arisen in recent conversations and at conferences. Now that major U.S. regulators have new leaders and enforcement heads in place, will enforcement actions slow down both in the United States and around the world? In other words, can financial institutions ease surveillance efforts? …
Beware: Persisting Regulatory Gaps as Stablecoin Standards Converge
By Stefano Chierici, Senior Product Manager, Financial Information, SIX. Once on the fringes of the crypto movement, stablecoins are fast becoming the cornerstone of many financial institutions’ digital assets strategies – and watchdogs are rallying to ensure necessary guardrails are in place, without hindering this emerging asset class. Backed by real-world assets to address the…
Turning Regulation into an Advantage for UK Financial Sector SMEs
By Jon Lucas, Director and Co-Founder, Hyve Managed Hosting. While security and compliance have always been crucial pillars of cloud hosting, the landscape is shifting. New legislation and stricter regulatory frameworks are placing heavier demands on businesses – particularly in sectors like financial services – forcing companies to invest more time, and resources into ticking…
Delta Capita’s Elaris OTC Stitches New Rails into the Derivatives Backoffice
Over the counter (OTC) derivatives remain one of the world’s largest financial markets. Bank for International Settlements (BIS) data puts notional outstanding at roughly US $700 trillion at mid 2024. Yet pockets of manual effort still reside in day today processing with industry estimates suggesting 20% of OTC trades are confirmed and settled by email…