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KYC 2.0: Elevating Customer Due Diligence Practices
By Steve Marshall, Director, Advisory Services, FinScan, an Innovative Systems solution. Know Your Customer (KYC) requirements for anti-money laundering (AML) programmes are entering a new era. Evolving regulations, industry best practices, and ongoing scrutiny of compliance programmes are pushing organisations subject to KYC regulations to reevaluate their approach to customer due diligence (CDD), the process…
How RegTech has Shaped Compliance in a Year of Global Regulatory Changes
2024 has been a transformative year for the regulatory landscape marked by major updates to trade reporting rules across the globe. Leo Labeis, CEO of REGnosys, reflects on the year and discusses how firms can harness RegTech solutions to stay prepared for ongoing regulatory evolution. While some will remember 2024 as “the year the world…
Behavioural Surveillance: Key Insights from the Smarsh -Sponsored Webinar on Conduct Risk Management
A recent webinar hosted by RegTech Insight and sponsored by Smarsh, brought together industry leaders to explore innovative strategies for tackling conduct risk. The panel included Sepehr Irandoost, Head of Global Surveillance Effectiveness and Efficiency, Bank of America; Marili Anderson, Head of Compliance, Rabobank; Theo Hill, Senior Director of Product Management, Smarsh. Managing conduct risk…
Kaizen and RegGenome Partner to Streamline Global Regulatory Intelligence
Reg reporting specialist Kaizen has forged a partnership with RegGenome, a spin-out from the University of Cambridge and a founding member of the open-source Regulatory Genome Project (RGP), aimed at helping financial institutions navigate complex global regulations. The tie-in combines RegGenome’s AI-powered regulatory data repository with Kaizen’s award-winning Single Rulebook platform. The partnership leverages the complementary…
2024 Nasdaq Compliance Survey Reveals Top Compliance Challenges and Investment Priorities
Nasdaq’s Global Survey Highlights AI, Cloud, and Data Quality as Key Drivers in Compliance Evolution The financial services sector is navigating an increasingly complex regulatory and operational landscape, as highlighted in Nasdaq’s ninth Annual Global Compliance Survey. The survey, conducted among 94 compliance professionals from the sell-side, buy-side, and financial market infrastructure sectors, underscores a…
Digital Communications Governance and Archiving: Pioneered by Theta Lake
By Garth Landers, Director of Product Marketing, Theta Lake. In today’s rapidly evolving digital landscape, the term “regulatory tsunami” has become a common phrase, reflecting the immense pressure organizations face to maintain compliance across a myriad of communication channels. As businesses increasingly adopt modern collaboration tools, the challenge of ensuring compliance has grown exponentially. Since…
Recorded Webinar: Addressing conduct risk: approaches to surveillance
Conduct risk in financial services is a critical area that requires vigilant monitoring and robust surveillance mechanisms. Regulatory bodies, (FCA, FINRA and others) have tightened their scrutiny and financial institutions must adopt advanced approaches to effectively manage and mitigate conduct risk. This webinar will examine the latest methodologies and technologies used to address conduct risk,…
FINRA’s 2024 New and Updated Guidelines on AI and GenAI/LLM Integration
In 2024, the Financial Industry Regulatory Authority (FINRA) expanded its guidance on integrating Artificial Intelligence (AI) within the securities industry, placing particular emphasis on generative AI (GenAI) and large language models. This builds upon FINRA’s ongoing efforts since 2020 to ensure that member firms adhere to existing regulatory frameworks while adopting advanced technologies. The recent…
Why NatWest’s e-Comms Channel Ban Sparks Debate: Insights from Symphony’s Brad Levy
NatWest’s recent decision to ban popular messaging platforms like WhatsApp and Facebook Messenger on company devices has reignited debate over how financial institutions manage off-channel communications. Brad Levy, CEO of Symphony shared his insights with RegTech Insight on why channel bans are only a temporary solution to a complex issue. Levy argues that there is…
Regnology Acquires VERMEG’s Agile Division, Expanding Global Leadership in Regulatory Reporting
Regnology has acquired Agile, the regulatory reporting division of VERMEG, in a move that underscores the growing trend of consolidation in the RegTech industry. This strategic acquisition strengthens Regnology’s capabilities in delivering end-to-end regulatory reporting solutions, while enabling VERMEG to focus on its core strengths in Collateral Management and Insurance. Agile, a SaaS-based platform originally…