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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…
Less than 3 Months until Canadian OTC-Derivatives Trade Reporting Rewrite Enters Force
Canada’s long-awaited rewrite of its OTC-derivatives trade-reporting regime enters force on 25 July 2025, completing a multi-year effort by the Canadian Securities Administrators (CSA) to bring national rules into line with global data standards and the U.S. CFTC’s 2024 “swap-data” overhaul.? The amendments—first published in final form on 25 July 2024—touch every province and territory…
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…
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 –…