RegTech Insight Risk, Governance & Controls The latest content from across the platform
AutoRek Builds Out AI Reconciliation Across Three Deployment Models
A global financial institution can match 98% of its transactions and still face thousands of unmatched exceptions each day. For the staff investigating those breaks, the remaining workload determines how much value automation delivers. Compliance reviewers need to trace the data behind each exception and demonstrate the reasoning behind each resolution. Founded in 1994, AutoRek…
SEC’s 2027 Examination Priorities Detail Scrutiny of Fees, Private Assets and Technology
The US Securities and Exchange Commission’s (SEC) 2027 examination priorities give compliance teams more detail on how examiners will assess economic conflicts, private-asset valuations and technology oversight. Published on 23 October, the Division of Examinations (EXAMS) report also identifies tokenisation and Treasury clearing among the developments shaping examinations of market infrastructure. Many concerns carry over…
FCA Market Watch 86 Reveals Material Weaknesses in MAR Surveillance
The FCA recently published Market Watch 86 highlighting a number of deficiencies in the systems, controls and governance over market abuse regulation (MAR). This follows supervisory visits to seven large retail oriented broker-dealers with high volumes of single-stock equities playing an important role in identifying and reporting potential insider dealing and exposure to other forms…
Data and Governance Take Centre Stage in AI Adoption
Financial institutions are making significant progress in deploying agentic AI, but differences in data infrastructure, governance and commercial priorities are creating a widening gap between those scaling the technology and those still experimenting, according to new research from A-Team Group. The study, commissioned by LSEG Data & Analytics and based on responses from 200 senior…
Smarsh Appoints Alessandro Silva to Unite Commercial Strategy Across Business Units
Smarsh has appointed Alessandro Silva as Chief Growth Officer, a newly created role bringing its Enterprise, Corporate, Public Sector and Global Channel business units under one commercial strategy. The former ACI Worldwide executive will lead the company’s commercial approach as it expands across international markets. Smarsh says the structure will speed decision-making and improve consistency…
Recorded Webinar: Generative and Agentic AI in Financial Markets: What the Data Really Shows
Artificial intelligence is reshaping financial markets – but the reality on the ground is more nuanced, more uneven, and more instructive than the headlines suggest. A new A-Team Insight research programme, drawing on responses from senior AI decision-makers at buy-side and sell-side institutions across the USA, UK and Canada, reveals a market in transition: from…
A-Team Group Announces AI in Capital Markets Awards 2026 Winners
As artificial intelligence dominates conversations among the decisions makers of the world’s financial institutions, A-Team Group has recognised the vendors that are enabling those firms to transform their operations with the most cutting edge of technologies. In its second annual AI in Capital Markets Awards, the group celebrates the technology suppliers in this fast-growing sector…
Breaking the Reporting Remediation Cycle at RegTech Summit New York
At A-Team Group’s recent RegTech Summit in London, speakers described reporting operations dependent on manual workarounds, conflicting transaction data and knowledge held by a handful of people. Maintaining those corrective processes consumes resources that firms need for regulatory change. RegTech Summit New York on 19 November will bring that challenge into focus. Its reporting programme…
The Surveillance Challenge Behind an Increasingly Continuous Market
The shift towards 24/5 equities trading and the rapid growth of prediction markets are presenting new challenges for trade surveillance. With trading activity increasingly spanning multiple venues, instruments and time zones, identifying potential market abuse is becoming more complex, particularly where suspicious behaviour crosses traditional market boundaries. For surveillance technology providers, however, these developments don’t…
Financial Firms Confront the Next Phase of AI-Driven Compliance
Artificial intelligence is moving rapidly from experimentation into day-to-day compliance operations at financial institutions, changing not only how firms monitor communications and investigate potential breaches, but also the governance, data and skills they need to support those processes. That shift was evident during a private executive roundtable hosted by compliance recording specialist Luware at A-Team…