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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…
Qomply Taps Veteran Sales Leader Steven Stewart to Steer US-UK Growth
RegTech firm Qomply has hired Steven Stewart as its new Strategic Commercial Director, tasking him with sharpening the company’s expansion strategy across the United States and the United Kingdom. Stewart brings 25 years of international sales leadership, most recently as Executive Vice President at Trading Technologies, where he helped build a platform used by many…
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…
IOSCO 2025 Thematic Review puts Regulators on Notice
The International Organization of Securities Commissions (IOSCO) released a key thematic review in February 2025. The report examines how Market Authorities (MAs) – supervisory authorities/regulators, trading venues and self-regulatory organizations (SROs) – around the world have implemented surveillance recommendations first established in 2013. This latest review specifically addresses regulators’ ability to oversee trading activities across…
7 AI-Powered RegTech Newcomers to Watch in 2025
A new wave of RegTech startups – founded ~2018 onwards – is leveraging AI to transform regulatory compliance across anti-money laundering, customer due diligence, trade surveillance, ESG reporting, and more. These “innovators to watch” are gaining traction via institutional adoption and regulatory sandbox programs. For identifying promising startups in AI-powered compliance technology, we evaluated each…
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…
ACA Adds Transaction Cost Analysis Capabilities with Global Trading Analytics Acquisition
ACA Group has acquired Global Trading Analytics (GTA), expanding its capabilities in transaction cost analysis (TCA) and best execution support across global financial markets. The move strengthens ACA’s positioning as a provider of technology-enabled governance, risk, and compliance (GRC) solutions, particularly for firms navigating increasingly complex regulatory expectations. GTA, based in Rutherford, New Jersey, brings…