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Upcoming Webinar: GenAI and LLM case studies for Surveillance, Screening and Scanning
6 November 2025 11:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes As Generative AI (GenAI) and Large Language Models (LLMs) move from pilot to production, compliance, surveillance, and screening functions are seeing tangible results — and new risks. From trade surveillance to adverse media screening to policy and regulatory scanning, GenAI and…
Upcoming Webinar: Best approaches for trade and transaction reporting
11 September 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes Compliance practitioners and technology leaders in capital markets face mounting pressure to ensure that reporting processes are efficient, accurate, and aligned with global standards. Market developments and jurisdictional nuances in regulatory frameworks like MiFID II, EMIR, SFTR and MAS create a…
Upcoming Webinar: Managing Legacy Voice Recording Transition
2 July 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes Recent enforcement actions underscore the importance of maintaining accurate, secure and up-to-date voice and electronic communication. For some organisations, legacy voice recording systems are not at or beyond end-of-life, posing significant compliance, operational and financial risks. These outdated systems often fail…
Upcoming Webinar: Best Practices for Managing Trade Surveillance
1 July 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes The surge in trading volumes combined with the emergence of new digital financial assets and geopolitical events have added layers of complexity to market activities. Traditional surveillance methods often struggle to keep pace with these changes, leading to difficulties in detecting…
Why Implementing Digital Regulatory Reporting is Vital for Compliance
The regulatory burden is increasing year on year and with the mounting threat of fines, financial firms must ensure compliance. Leo Labeis, CEO of REGnosys, explores how firms can implement digital regulatory reporting properly to help and ensure future competitiveness. Financial Institutions face mounting pressure to stay compliant with significant regulatory rewrites across Europe, Japan,…
Don’t Forget People and Process when Deploying Agentic AI
When the financial industry talks ‘agentic AI’, there’s a tendency for the conversation to quickly devolve into cutting-edge technologies – large language models (LLMs), neural networks, generative algorithms (GenAI) etc. Agentic AI is really about transforming the business processes that define firms’ operations and the roles that supervise them. Success is dependent on more than…
NeoXam Enhances Gérifonds’ Regulatory Compliance Capabilities
Gérifonds, a fund management subsidiary of Banque Cantonale Vaudoise (BCV), has expanded its long-standing relationship with software provider NeoXam, aiming to improve regulatory compliance and operational efficiency. Operating in Switzerland’s demanding regulatory environment, Gérifonds manages 138 funds totalling CHF 21.6 billion. To navigate complex regulations – such as the Collective Investment Schemes Act (CISA) and…
Compliance Innovation at Droit: Bridging Symbolic Logic and GenAI
Compliance teams frequently face overwhelming regulatory shifts like those imposed by MiFID II or EMIR Refit. For many firms, understanding exactly how a new mandate impacts day-to-day operations can feel overwhelming – unless, of course, you can assess the operational impacts and immediately trace those mandates back to the source text itself. Since its founding…
LeapXpert Acquires StartADAM and Broadens Channel Compliance Coverage
Communications compliance provider LeapXpert has acquired cross-platform messaging startup StartADAM extending its reach in the governed-messaging niche. Announced in New York on June 3, the deal folds StartADAM’s people, intellectual property, and product into The LeapXpert Communications Platform, adding fresh AI muscle, two new messaging channels, and three CRM connectors. By integrating StartADAM’s agentic AI…
Fenergo Enhances Financial Crime Compliance Capabilities with Agentic AI Integration
Fenergo has introduced an updated financial crime solution – the FinCrime Operating System (FinCrime OS) – featuring a new agentic AI layer aimed at significantly improving operational efficiency within financial institutions. This development comes against a background of spiralling operational costs and rising compliance demands enhanced by geopolitical tension and regulatory flux. Marc Murphy, CEO,…