RegTech Insight Risk, Governance & Controls The latest content from across the platform
FCA Horizon Scan Calls for Collaboration on AI and Programmable Finance Risks
In a first-of-its-kind publication, the FCA’s Emerging Tech & Research team has published Emerging Technology Horizon Scan 2026, setting out how emerging technologies could combine to reshape financial services, market infrastructure and the control environment that supports trust in UK markets. The report is designed to foster debate and encourage collaboration across the financial services…
ICMA and ISLA Push Basel III Debate Into Securities Financing
The International Capital Market Association (ICMA) and the International Securities Lending Association (ISLA) argue that US regulators should look more closely at how individual capital components contribute to overall exposure across repo, securities lending and derivatives markets in their Joint Response to Basel III NPR. The joint response uses two securities financing examples to make…
The Compliance Challenge Shaping AI Adoption in Fixed Income
By Kevin Rutter, CEO, AIQ Markets. AI is rapidly becoming part of the buy-side technology stack. But before a portfolio manager can act on a recommendation or a trader can execute an idea generated by AI, firms must answer a more fundamental question: can they trust it? As buy-side firms move from experimentation toward production…
Reg NMS Repeal Proposal Puts Routing Controls and Best-Execution Evidence Back in Focus
The US Securities and Exchange Commission (SEC) has proposed a partial repeal of a two-decade-old equity market structure rule, reopening a debate over whether prescriptive intermarket price protection remains suited to the way US equities now trade. The proposal would rescind Rule 611 of Regulation National Market System (Reg NMS), the trade-through rule, and Rule…
FinregE Appoints Paul Lyon to Lead Marketing and Communications
End-to-end regulatory operating system FinregE has appointed Paul Lyon as chief marketing and communications officer, creating a new executive role as the company looks to sharpen its market positioning during a period of growth. Based in London, Lyon will report to Rohini Gupta, chief executive officer, and lead FinregE’s communications, analyst relations, brand, marketing and…
ACA Group Appoints Trey Loughran as Chief Executive Officer
ACA Group has appointed Trey Loughran as chief executive officer and member of the board, as the governance, risk and compliance solutions provider prepares for its next phase with Genstar Capital as lead investor. Loughran succeeds Patrick Olson, who became CEO in May 2023. Olson will move into the role of vice chairman, where he…
Buy-Side AI Adoption Moves Into the Execution Phase
ACA Group’s latest research report suggests buy-side AI adoption progressing cautiously from personal productivity desktop tools towards defined compliance and operations use cases. Based on 201 qualified respondents across US-based investment management firms, the report examines AI use across 20 compliance and operations workflows in a market segment where AI exposure is widespread, but…
FCA Sanctions Review Puts Control Evidence at Centre of Screening Debate
The FCA’s latest sanctions review raises the bar for firms to prove that screening systems, data feeds, alert workflows and vendor arrangements work under live sanctions conditions. The review draws on the FCA’s assessment of more than 150 supervised firms since February 2022. It includes examples of good and poor practice across governance, management information,…
EquiLend and Delta Capita Partner on Spire Implementation
EquiLend has entered a strategic partnership with Delta Capita to expand implementation support for EquiLend Spire, its securities finance platform. The arrangement gives EquiLend additional delivery capacity as adoption of Spire grows across the securities finance market. Delta Capita will act as an implementation partner for new client onboarding and platform upgrades, working within EquiLend’s…
AI in Capital Markets Handbook 2026
AI adoption in capital markets has moved into a more disciplined phase. The priority is now controlled deployment: where AI can be used safely, where it can deliver measurable value, and how outputs can be governed, monitored and evidenced. The 2026 edition of the AI in Capital Markets Handbook examines how AI is being applied…