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Recorded Webinar: Hearing from the Experts: AI Governance Best Practices
The rapid spread of artificial intelligence in the financial industry presents data teams with novel challenges. AI’s ability to harvest and utilize vast amounts of data has raised concerns about the privacy and security of sensitive proprietary data and the ethical and legal use of external information. Robust data governance frameworks provide the guardrails needed…
API-Driven and Template-Free: The Rise of Granular Data Reporting
For decades, regulatory reporting has been defined by templates: thousands of fields to be completed and resubmitted every time a rule or taxonomy changed. That world is now shifting. Regulators in multiple jurisdictions are adopting Granular Data Reporting (GDR) – a model where firms submit transaction- or element-level data once, and supervisors generate the necessary…
REP008, FIT, and Beyond: Navigating the FCA’s Reporting Duties on Misconduct
The Financial Conduct Authority (FCA) has long insisted that “non-financial misconduct is misconduct.” That phrase, repeated across speeches and policy statements, reflects the regulator’s conviction that culture, integrity, and behaviour are inseparable from financial soundness. In 2025, the FCA translated that principle into formal rulemaking, finalising changes to the Senior Managers & Certification Regime (SMCR)…
What “Good” Looks Like Under New UK CTP Rules
At the start of the year, the UK switched on a new oversight regime for Critical Third Parties (CTPs) – giving the Bank of England, PRA and FCA direct powers over tech providers whose failure could rattle market stability. The rules and supervisory approach were finalised in November 2024; designations are made by HM Treasury…
Delta Capita Acquires DTCC Report Hub to Deliver Full Stack Regulatory Reporting
When Delta Capita confirmed its acquisition of DTCC’s Report Hub earlier this year, the deal looked, at first glance, like familiar consolidation in a crowded category. Look closer and it signals a broader shift: Delta Capita is moving from adviser and operator to full stack provider in regulatory reporting – pairing managed services with a…
The DORA Implementation Playbook: A Practitioner’s Guide to Demonstrating Resilience Beyond the Deadline
The Digital Operational Resilience Act (DORA) has fundamentally reshaped the European Union’s financial regulatory landscape, with its full application beginning on January 17, 2025. This regulation goes beyond traditional risk management, explicitly acknowledging that digital incidents can threaten the stability of the entire financial system. As the deadline has passed, the focus is now shifting…
EU Data Act + DORA: Cloud Exit & Portability for Financial Services
From 12 September 2025, the EU Data Act’s cloud switching regime starts to apply, turning “cloud exit strategy” for risk, compliance and tech leadership, into an audit ready operational control with specific notice periods, timelines, assistance duties and a phased ban on switching fees. The Data Act requires providers of “data processing services” (e.g., cloud…
FCA Multi-Firm Review on Off-Channel Communications: Implications and Next Steps
By Paul Cottee, Director, Regulatory Compliance, NICE Actimize. The UK’s financial regulator, the Financial Conduct Authority (FCA), recently published the results of its multi-firm review into off-channel communications within wholesale banking. Off-channel communications, in this context, refer to any professional communication that occurs outside of the firm’s approved channels, such as personal emails, instant messages,…
Global Regulators Turn Up Heat on Exaggerated AI Claims
Supervisors on both sides of the Atlantic are no longer content with soft warnings about artificial intelligence (AI) hype. From the United States Securities and Exchange Commission (SEC) to the United Kingdom’s Advertising Standards Authority (ASA), the direction of travel is clear: say what you do, do what you say – and prove it. Regulators…
EU’s AMLA Sets Stage for Direct Supervision of High-Risk Cross-Border Banks
The EU’s new Anti-Money Laundering Authority (AMLA – the Authority)) moved from concept to reality in summer 2025 as it began operations in Frankfurt. The Authority has a mandate to drive supervisory convergence, coordinate Financial Intelligence Units (FIUs) and, from 2028, directly supervise a set of high-risk, cross-border financial institutions. The EU Anti Money Laundering…