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Recorded Webinar: Privacy vs. Surveillance: Managing conflicting regulations in Germany and other privacy-sensitive jurisdictions
The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections. At the same time, the public’s attitude toward data privacy has hardened, most visibly through new regulations…
Trade Surveillance and Mobile Recording in the Era of Data Privacy
The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections. At the same time, the public’s attitude toward data privacy has hardened, most visibly through new regulations…
Technology Overtakes Regulation as Key Driver of Change in Compliance
Compliance and the role of the compliance officer has changed significantly over the past decade as a result of escalating regulation, technology development, an increasing focus on culture and conduct risk, and the ever closer relationship between compliance and the business. Automation has also come to the fore as compliance departments working with rising volumes…
Digital Reasoning Releases AI-Enabled Voice Analytics and Partnership with Corlytics
After four years of research and development, Nashville-based Digital Reasoning has released an AI-enabled voice analytics solution for financial services communications monitoring. It has also announced a partnership with regulatory risk tech company, Corlytics, to deliver one of the highest volumes of pre-trained models for monitoring available to the financial sector, according to the companies….
Fenergo Enters Taiwanese Market in Tie Up with TUNG-I
Fenergo has entered the Taiwanese market through a partnership with TUNG-I Information Services (TUNG-I), a provider of solutions powered by artificial intelligence (AI) in finance, information security, private cloud implementation and smart retail. As an exclusive client lifecycle management partner (CLM), Fenergo will provide TUNG-I’s current and prospective Taiwanese clients access to Know Your Customer…
Clausematch Uses AI to Take Compliance Deeper
Clausematch, a UK-based RegTech, is on a mission. The company wants to unleash the unstructured data found within compliance processes to help create a more connected approach to shaping organisational culture within financial firms. According to founder and CEO Evgeny Likhoded, Clausematch technology helps banks implement and manage internal policies procedures, as well as demonstrate…
HSBC Takes on Financial Crime Tech Challenge with AI Approach from Quantexa
HSBC has launched a global analytics platform that identifies potential financial crime by contextually analysing customer, transactional, and publicly available data in order to understand a customer’s global network. The platform, developed with AI solution provider Quantexa, illustrates how firms are deploying RegTech solutions to address the ongoing regulatory focus on financial crime compliance, with…
Refinitiv Withdraws KYC as a Service Solution
Refinitiv is planning to withdraw its KYC as a Service offering, most likely late this year, once again raising questions around the viability of the utility model and following Bloomberg’s decision to pull out of the KYC market and withdraw its Entity Exchange KYC and client onboarding solution little more than a month ago. Refinitiv’s…
Recorded Webinar: FRTB: Laying the groundwork for compliance
The January 2022 compliance deadline for sell-side firms within the scope of Fundamental Review of the Trading Book (FRTB) regulation may seem far into the future, but the complex demands of the regulation and the need to source regulatory data that has never previously been required mean firms should already be identifying tools, solutions and…
Investment in Regulatory Technology can Reap Wider Business Benefits
By: Yousaf Hafeez, Head of Business Development at Radianz, BT One of the major outcomes of the financial crisis has undoubtedly been the marked rise in regulatory scrutiny. The banking industry, for example, has paid in the region of $345 billion in global regulatory fines over the past decade, according to research from the Boston…