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Upcoming Webinar: GenAI and LLM case studies for Surveillance, Screening and Scanning
12 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…
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,…
Droit Expands Cloud Data Privacy Safeguards with ISO 27018 Certification
Droit, a RegTech firm best known for applying computational law to complex financial regulation, has added another layer of assurance to its cloud services. The company has achieved ISO/IEC 27018:2019 certification, an international benchmark for protecting personally identifiable information (PII) in public cloud environments. This new certification sits alongside Droit’s existing ISO/IEC 27001:2022 and ISO/IEC…
CITGO Petroleum Implements Behavox Platform for Regulatory Archiving and Communications Surveillance
Behavox, the AI-powered communications surveillance provider, has announced that CITGO Petroleum Corporation has gone live with its platform for Regulatory Archiving and Communications Surveillance. CITGO, a major U.S.-based oil refiner, adopted the solution to strengthen its compliance programme and address evolving regulatory risks. With the new platform, CITGO gains access to AI-driven risk policies, high-quality…
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…