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ION Releases Compliance SaaS to Target Tier 2 / 3 Buy Sides
ION Markets is targeting Tier 2 and Tier 3 asset management firms with its new Compliance SaaS solution, which helps firms comply with regulations globally as well as internal policies governing their investment activities on behalf of clients. The new platform uses Web technologies to offer SaaS and HTML 5 delivery of the former Sentinel…
Recorded Webinar: A practical guide to dual UK and EU regulatory reporting as the Temporary Permission Regime comes to a close
The Temporary Permission Regime (TPR) allowing capital markets participants in the European Economic Area (EEA) to continue to operate in the UK post Brexit will be withdrawn by the end of 2023, calling on firms that want to stay in the UK to gain full authorisation from the FCA and prepare to comply with both…
Russia Sanctions Pose Challenges for Regulated Entities
By Martin Cheek, Managing Director, SmartSearch As fears of renewed Russian offensives put Vladimir Putin’s invasion of Ukraine back on the news agenda, the sanctions against Putin and Russia which followed the war have never gone away. Before the invasion, Russia was already subject to about 2,700 sanctions. Within two weeks of the attack, that…
Natural Language Processing, the Shift from Surveilling Traders to Supporting Them
By Oliver Rooney, VoxSmart. Natural Language Processing (NLP), although not a new concept, is increasingly being discussed within Financial Markets. Despite its tenure in everyday services such as chat boxes, Alexa and Hey Google amongst others, the way in which it is being utilised in financial markets is changing for the better with firms set…
Leveraging NLP for Regulatory Compliance
Natural language processing (NLP) is being used to accelerate every step of the compliance journey, from identifying relevant regulatory updates to understanding their content to mapping the changes onto internal infrastructure, according to panellists on a recent A-Team Group webinar, ‘Leveraging NLP for regulatory compliance’. Key takeaways included: Many firms have yet to recognise the…
Recorded Webinar: Leveraging NLP for regulatory compliance
As regulatory compliance becomes more complex, requires larger volumes of data – both structured and unstructured, and comes under greater scrutiny by regulators, financial institutions are looking for RegTech solutions that can help them increase efficiency, reduce costs, and improve the accuracy of regulatory data. One such solution is natural language processing (NLP), which can…
Recorded Webinar: Embracing cloud in your firm’s regulatory response
Regulatory compliance is a key function for financial institutions. It is also a huge burden in terms of time, data management, systems resources, manual intervention, and reporting. As financial firms progress digital transformation programmes, is it time to move regulatory reporting to the cloud with a view to improved efficiency, reduced costs and better business…
ACA Completes Foreside Merger to Form One of Largest GRC Platforms
GRC platform operator ACA Group has completed its merger with Foreside Financial Group, creating one of the world’s most extensive governance, risk and compliance offerings. The merger combines ACA’s regulatory compliance, cybersecurity, ESG and performance capabilities with Foreside’s distribution and broker-dealer capabilities to create a one-stop shop for investment firms. ACA’s business model involves supplementing its…
Firms Turning to Voice Transcription to Address Regulatory Scrutiny
Demand for voice transcription services from surveillance professionals at financial institutions is at record highs, according to analysis from compliance data and technology specialist SteelEye. Firms are seeking voice-to-text solutions for calls on fixed-line, mobile, MS Teams, Zoom, WhatsApp, and other communications mechanisms as part of to their surveillance programmes. SteelEye analyzed all Requests for…
Recorded Webinar: Adding value and improving efficiencies in sanctions screening
Sanctions have been headline news this year. They are growing in number, sanctions lists are changing on a daily basis, and there can be conflict between sanctions issued by different jurisdictions – the whole calling for financial institutions to optimise sanctions screening to reduce risk and avoid potentially punitive penalties of non-compliance. This webinar will…