RegTech Insight Regulatory Technologies The latest content from across the platform
A “New Day” at the SEC: Key Takeaways from Chairman Atkins’ May 2025 Town Hall
Newly appointed SEC Chair Paul S. Atkins set a clear, bold tone in his first town hall, declaring it “a new day at the SEC” and emphasizing a return to the agency’s core mission: protecting investors, facilitating capital formation, and safeguarding fair, orderly, efficient markets. Atkins’ remarks provided significant insights for compliance professionals, capital markets…
What to Expect at A-Team Group’s AI in Capital Markets Summit – New York, June 26, 2025
On June 26th, the A-Team Group brings its AI in Capital Markets Summit to New York City for the first time. The event will be held at @Ease on Third Avenue for a packed day of strategy, insight, and implementation. As artificial intelligence matures from early-stage experimentation to enterprise-wide deployment, capital markets firms face a…
Meeting the 72 Hour Trade-Reconstruction Rule – 10 Holistic Surveillance Leaders for 2025
When regulators rewrote the rulebook after the financial crisis, surveillance teams were handed an almost impossible brief: show us everything that led to a trade. In the United States, the CFTC’s Dodd-Frank swap-dealer rules (§1.35 and §23.202) imposed a 72-hour deadline to reconstruct a transaction, forcing banks to retrieve orders, voice calls, chat messages and…
Navigating the Regulatory Data Labyrinth: Foundations, Collaboration, and the Pursuit of Trust
Regulatory reporting remains a significant challenge for financial institutions, driven by ever-evolving requirements and the sheer volume and complexity of data involved. A recent webinar, hosted by A-Team Group and co-sponsored by Nice Actimize and Derivative Service Bureau, brought together industry experts to discuss best practices in data management for regulatory reporting, offering valuable insights…
Recorded Webinar: Best practice approaches to data management for regulatory reporting
Effective regulatory reporting requires firms to manage vast amounts of data across multiple systems, regions, and regulatory jurisdictions. With increasing scrutiny from regulators and the rising complexity of financial instruments, the need for a streamlined and strategic approach to data management has never been greater. Financial institutions must ensure accuracy, consistency, and timeliness in their…
A First for RegTech: Corlytics Achieves ISO 42001 Certification for AI Governance
Dublin-based Corlytics has become the first RegTech company to achieve ISO/IEC 42001 certification, positioning the firm among a select group of global technology companies certified to stringent international standards for AI governance. ISO 42001 aligns closely with evolving regulatory frameworks such as the EU AI Act and the UK National AI Strategy. The standard includes…
Navigating the Labyrinth: Maintaining Off-Channel Communications Compliance
Maintaining rigorous compliance standards around electronic communications remains a significant challenge for capital markets firms. Following a period marked by substantial regulatory fines globally, the industry is taking stock of its surveillance programmes and adapting to both evolving technological landscapes and shifting regulatory priorities. A recent webinar hosted by A-Team Group in May, sponsored by…
From Awareness to Execution: Closing the Regulatory Compliance Implementation Gap
By Jordan Domash, Founder and CEO, Responsiv. Even under a ‘regulation light’ administration, more than 1,400 new Federal executive orders, final rules, and proposed rules have emerged in 2025 alone. Layer on every potential state and international change, there’s a lot to sift through. Regulatory teams must then take these often-dense legal texts and quickly…
Recorded Webinar: Managing Off-Channel Communications Compliance
Managing off-channel communications – business interactions occurring outside of approved corporate systems – continues to challenge firms’ compliance efforts. The rise of personal messaging apps, social media, and other unmonitored channels – for example, messaging functionality embedded in an order management system – exposes firms to substantial regulatory risk. Enforcement actions by regulatory bodies, such…
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…