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Don’t Forget People and Process when Deploying Agentic AI
When the financial industry talks ‘agentic AI’, there’s a tendency for the conversation to quickly devolve into cutting-edge technologies – large language models (LLMs), neural networks, generative algorithms (GenAI) etc. Agentic AI is really about transforming the business processes that define firms’ operations and the roles that supervise them. Success is dependent on more than…
NeoXam Enhances Gérifonds’ Regulatory Compliance Capabilities
Gérifonds, a fund management subsidiary of Banque Cantonale Vaudoise (BCV), has expanded its long-standing relationship with software provider NeoXam, aiming to improve regulatory compliance and operational efficiency. Operating in Switzerland’s demanding regulatory environment, Gérifonds manages 138 funds totalling CHF 21.6 billion. To navigate complex regulations – such as the Collective Investment Schemes Act (CISA) and…
Compliance Innovation at Droit: Bridging Symbolic Logic and GenAI
Compliance teams frequently face overwhelming regulatory shifts like those imposed by MiFID II or EMIR Refit. For many firms, understanding exactly how a new mandate impacts day-to-day operations can feel overwhelming – unless, of course, you can assess the operational impacts and immediately trace those mandates back to the source text itself. Since its founding…
LeapXpert Acquires StartADAM and Broadens Channel Compliance Coverage
Communications compliance provider LeapXpert has acquired cross-platform messaging startup StartADAM extending its reach in the governed-messaging niche. Announced in New York on June 3, the deal folds StartADAM’s people, intellectual property, and product into The LeapXpert Communications Platform, adding fresh AI muscle, two new messaging channels, and three CRM connectors. By integrating StartADAM’s agentic AI…
Fenergo Enhances Financial Crime Compliance Capabilities with Agentic AI Integration
Fenergo has introduced an updated financial crime solution – the FinCrime Operating System (FinCrime OS) – featuring a new agentic AI layer aimed at significantly improving operational efficiency within financial institutions. This development comes against a background of spiralling operational costs and rising compliance demands enhanced by geopolitical tension and regulatory flux. Marc Murphy, CEO,…
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…