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Enhancing Messaging Governance: IPC and LeapXpert’s New Partnership
In a move to bolster messaging governance and compliance within the financial sector, IPC has partnered with LeapXpert to provide improved solutions for regulated financial businesses. As the industry increasingly relies on digital messaging channels alongside traditional telephony, managing effective surveillance and meeting regulatory obligations like data recordkeeping has become a significant challenge. LeapXpert addresses…
Embracing a New Age of Post-trade Transparency
By Anne Plested, MCSI, Senior Product Manager for Regulation, ION Markets. Incentives for change Earlier last year, as part of the UK Wholesale Markets Review (WMR), the Financial Conduct Authority (FCA) published its PS23/4 policy statement on Improving Equity Secondary Markets. Promising to remove the most burdensome and unnecessary regulatory requirements, this policy aims to…
Corlytics Enforcement Data Signals Elevated Compliance Risks
Regulators worldwide have ramped up enforcement actions at unprecedented levels in the latter half of this year, with historic fines and new precedents being established across the various sectors. According to the latest enforcement data from RegTech consolidator, Corlytics, the total value of enforcement penalties in the third quarter of 2024 is up by 300%…
Bitpanda Partners with Eventus for Enhanced Trade Surveillance Compliance
European cryptocurrency platform Bitpanda has selected the Validus platform from Eventus to enhance its trade surveillance capabilities and ensure compliance with regulatory standards. This strategic move aims to bolster Bitpanda’s defences against market abuse, manipulation, and insider trading through advanced automation. Founded in 2014 and headquartered in Vienna, Bitpanda operates across multiple European locations, including…
RegTech Summit New York – Where Innovation Meets Compliance
A-Team Group’s RegTech Summit New York is back in Midtown Manhattan for its eighth year, bringing together industry practitioners, innovators and regulators to share insights into the most pressing regulatory changes and trends shaping the future of capital markets. Prepare yourself for a full day of dynamic discussions, insightful presentations, and networking where industry leaders…
FCA Survey Reveals Gaps in Governance and Policy on Non-Financial Misconduct
The U.K. Financial Conduct Authority’s (FCA’s) – Culture and non-financial misconduct survey – highlights challenges, gaps, and key trends in how firms detect, address, and prevent incidents of bullying, harassment, discrimination, and other forms of non-financial misconduct (NFM). Regulators are recognising the negative effects on workplace culture, compliance, and overall trust from these behaviours. The…
Ensuring Data Integrity in Finance – A Foundation for Efficiency and Trust
By Neil Sandle, director of product management at Gresham. In today’s financial landscape, data integrity is more than a regulatory requirement — it is the backbone of efficient operations and trustworthy decision making. Ensuring that data remains accurate, consistent, and reliable throughout its lifecycle is essential for financial institutions looking to maintain operational excellence, manage…
Euronext Sees Research Growth Opportunity in Substantive Research Acquisition
Technology has redrawn how investors obtain and buy research, and for many the new landscape is forcing them to reassess their requirements and their tech spend. With more financial regulations on the horizon expected to add yet more complexity to market participants’ research operations, European stock market operator Euronext has seen an opportunity to provide…
Saifr Sponsored Webinar Targets Effective Due Diligence for Financial Crime Risk
In a world where regulations shift as rapidly as the tactics of those who seek to undermine them, staying still is not an option. This reality check and its implications was the focal point of a recent RegTech Insight webinar hosted by A-Team Group and sponsored by Saifr that brought together a panel of industry…
Enhancing our National Asset: Maximising the Value of Data Collections Across the Financial Sector
The Bank of England is working to transform how we collect, use, and share our data, to maximise its value. Key to this is transforming statistical productions and working with the FCA, international regulators and industry to transform data collections. This work facilitates the international competitiveness of the UK economy and its medium- to long-term…