Editor’s pick
AML Partners Extends Directed Intelligence with AI/ML Agents
With its RegTechONE® platform and Directed Intelligence framework, AML Partners is enabling financial institutions to train their own AI/ML models using internal operational data, ensuring that compliance automation aligns with real-world risk decisions and regulatory expectations. Unlike traditional AI models that rely on opaque, third-party training data, AML Partners’ Directed Intelligence records every compliance decision,...
Top Blogs
Modern Data Landscape Comes Under Scrutiny at Data Management Summit London
From data products and marketplaces to the new challenges of regulatory compliance and the latest thinking on unstructured data, A-Team Group’s Data Management Summit London 2025 took in the full breadth of topics that chief data officers and their teams are dealing with daily. With a line up of C-suite executives and expert speakers from...
Key Takeaways from the SEC’s 2025 Examination Priorities
The U.S. Securities and Exchange Commission’s Division of Examinations released its examination priorities for Fiscal Year 2025 in October, placing a strong emphasis on investor protection, market integrity, and compliance with regulatory standards. These priorities, formulated before the results of the 2024 U.S. election were known, reflect insights from past exams and emerging risks, and...
CFTC Outlines New Framework for Self-Reporting and Cooperation in Enforcement Cases
The U.S. Commodity Futures Trading Commission (CFTC) has issued new guidance on how it will evaluate self-reporting, cooperation, and remediation efforts when considering enforcement actions, marking a significant shift in how firms and individuals can approach regulatory violations—see CFTC Release Number 9054-25. For the first time, the CFTC’s Division of Enforcement has introduced a Mitigation...
Latest briefs
Vanquis Banking Group Enhances AML Oversight with FinScan
Vanquis Banking Group has selected FinScan to optimize its anti-money laundering (AML) processes, reinforcing its financial crime risk management framework. The decision reflects a broader industry shift toward technology-driven compliance strategies that improve operational efficiency and regulatory adherence. As a specialist UK bank, Vanquis faces increasing scrutiny over financial crime prevention, making the integration of…
STP LaunchAdvisor Combines Fund Admin and Compliance for New and Emerging Funds
STP Investment Services has released STP LaunchAdvisor, a bundled service aimed at helping emerging hedge fund and private equity managers navigate operational and regulatory complexities. The solution integrates fund administration and compliance into a single offering, reducing the need for multiple service providers and streamlining essential processes. STP LaunchAdvisor is designed to create efficiencies by…
Oracle Adds Agentic AI to Investigation Hub for Financial Crime
Oracle Financial Services has added a broad set of agentic AI capabilities to its Investigation Hub Cloud Service, aimed at helping financial institutions automate parts of their investigative workflow and reduce manual effort when tackling financial crime. The new AI agents are designed to assist investigators by gathering evidence, surfacing key insights, and generating detailed…
Euroclear and Microsoft Partner to Enhance Capital Markets Infrastructure
Euroclear has entered a seven-year partnership with Microsoft to modernize its technology infrastructure and develop new digital and data-driven capabilities for financial market participants. The collaboration will focus on leveraging cloud computing, artificial intelligence (AI), and advanced analytics to enhance Euroclear’s role as a key financial market infrastructure provider. The initiative is designed to foster…
Sumsub Releases AI-Powered AML Screening Enhancements
Full-cycle verification vendor Sumsub, recently released new AI-driven enhancements to its AML screening and case management capabilities, aiming to help compliance teams reduce manual workload and improve the accuracy of risk detection. The updates address a critical challenge in financial crime compliance—the growing volume of false positives that consume valuable time and resources. Regulatory bodies…
Fenergo and PwC Partner to Enhance Financial Crime Compliance and Efficiency
A new collaboration between Fenergo and PwC aims to help financial institutions streamline financial crime compliance, improve operational efficiency, and navigate evolving regulatory demands. By combining PwC’s expertise in financial crime and regulatory compliance with Fenergo’s AI-driven client lifecycle management (CLM) and Know Your Customer (KYC) technology, the partnership is set to accelerate digital transformation…
New Cyber and Emerging Technologies Unit at SEC
The Securities and Exchange Commission (SEC) has established the Cyber and Emerging Technologies Unit (CETU) to address cyber-related misconduct and safeguard retail investors in the evolving tech landscape. This new unit, led by Laura D’Allaird, succeeds the former Crypto Assets and Cyber Unit and comprises around 30 fraud specialists and attorneys from various SEC offices. …
UK Penalties for AML Regulatory Breaches More Than Double 2023 – Fenergo Research
According to a new analysis by Client Lifecycle Management and perpetual KYC solution provider Fenergo, financial institutions in the UK have experienced a sharp increase in the total value of AML-related fines despite a drop in the number of enforcement actions. In 2024, the Financial Conduct Authority (FCA) issued three significant fines totalling $64.74 million,…
SEC Launches Crypto Task Force to Provide Clarity on Regulatory Framework
Acting U.S. Securities and Exchange Commission (SEC) Chairman Mark T. Uyeda has launched a new crypto task force aimed at establishing a comprehensive and transparent regulatory framework for digital assets. Commissioner Hester Peirce will lead the initiative, with Richard Gabbert, Senior Advisor to the Acting Chairman serving as the task force Chief of Staff, and…
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…
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…
ACA Group Expands Broker-Dealer Compliance Support with FINOP Consulting Acquisition
In a strategic move to deepen its support for broker-dealer clients, ACA Group has acquired FINOP Consulting, an outsourcing firm specializing in financial and operational compliance for broker-dealers. Led by industry veteran and FINOP founder Dan Beaton, the acquisition enables ACA to expand its capacity in financial operations (FinOps) services, particularly for clients needing precise…
DTCC’s Enhanced VaR Calculator for Potential Cross-Margin Reductions
The Depository Trust & Clearing Corporation (DTCC) has updated its Value at Risk (VaR) calculator to include cross-margining and repo transaction functionalities, aimed at improving firms’ risk management capabilities ahead of expanded U.S. Treasury clearing requirements expected in 2025 and 2026. These enhancements, introduced through the Fixed Income Clearing Corporation’s (FICC) Government Securities Division (GSD),…
Arcesium Adds Regulatory Reporting Automation to Opterra Platform
Data management service provider Arcesium has launched a regulatory reporting extension to its Opterra data lifecycle management platform. The New York-based company said the new tooling enables clients to utilise data they already have to automate the collection and presentation of information required for compliance processes. The extension was created to meet growing demand for…
Regnology Acquires CG3-1
Specialized reporting solutions provider Regnology has acquired CG3-1, a firm known for its regulatory calculations in the U.S. broker-dealer market. The move is expected to enhance Regnology’s offerings for broker-dealers by integrating expertise in regulatory capital, customer reserve, and portfolio margin requirements. Founded in 2018, CG3-1 has established itself among U.S. broker-dealers seeking compliance with…
Latest people
Rimes Appoints New Chief People Officer
Rimes has appointed Kelly Samrai as Chief People Officer, bringing her extensive experience in scaling teams and driving organizational culture in high-growth environments. Her role will focus on aligning talent strategy with business objectives, leadership development, and fostering an inclusive, high-performing workplace. Samrai previously served as Chief People Officer at Luno, where she played a…
Muinmos Appoints Powerful Advisory Board to Drive KYC Growth
Digital onboarding and perpetual KYC solutions provider Muinmos has created an Advisory Board comprising four highly experienced professionals known for their work across RegTech, Big Data Analytics, and Digital Transformation. Each brings a record of scaling businesses and supporting growth, particularly in financial services. Their combined expertise is expected to inform Muinmos’ development of its…
Senior Leadership Appointments at CSC Funds and Capital Markets Division
CSC has taken a step to strengthen its global compliance and risk management capabilities by appointing two seasoned leaders to key roles. With extensive experience in compliance, logistics, and regulatory strategy, Mark Calandra will now lead CSC’s Corporate and Legal Solutions (CLS) division, while Ian McConnel becomes the company’s chief legal officer overseeing Legal, Risk,…
Corlytics Names Graham Howell as Chief Financial Officer
Global RegTech consolidator Corlytics, has appointed Graham Howell as Chief Financial Officer (CFO) to support its ongoing global expansion. This move follows the company’s recent growth in the United States and strategic acquisitions, including Deloitte UK’s RegTech platform, ING’s SparQ, and Clausematch. These developments aim to enhance Corlytics’ capabilities in addressing the increasing complexity of…
Corlytics Ramps Up US Presence with New Leadership Team
Global RegTech consolidator Corlytics is ramping up its presence in the US market with a new leadership team for its North America operations. Industry veteran Aidan Houlihan, will head the new team, bringing a wealth of expertise in financial services with over 15 years in senior roles at Napier.ai and BNY Mellon. The leadership team…
SAIFR Hires Hutnyan as Head of Sales
Due diligence, surveillance and marketing communications compliance specialist Saifr has appointed Micheal Hutnyan as Head of Sales. Enterprise sales veteran Hutnyan brings an impressive record of sales leadership and building SaaS revenue streams with stints at Tamr, Trillium Software and DataKitchen. You can hear more from Saifr at the upcoming A-Team Group RegTech Summit in…
Delta Capita Appoints Caroline O’Sullivan as Head of Ireland
Global financial services consulting, managed services, and technology provider Delta Capita has appointed Caroline O’Sullivan as its new Head of Ireland. Based in Dublin, Caroline will lead the company’s regional business strategy, focusing on sustainable growth across all core service lines, client relationship management, and overseeing business operations. She will report to Philip Freeborn, Co-Head…
ESG Book Names RegTech Veteran Fitzpatrick as New Chief Executive
ESG Book has named Justin Fitzpatrick, the founder and executive of several UK-based RegTech companies, as its new chief executive replacing global sustainability leader Daniel Klier. The Germany-based data and tech company, which made headlines in 2021 when it put a large part of its ESG database on a free-to-use platform, said Fitzpatrick has “deep expertise…
Encompass Names Neil Acworth Chief Information Security Officer
Encompass Corporation, a provider of real-time digital Know Your Customer (KYC) profiles, has appointed Neil Acworth as chief information security officer (CISO) as part of its focus on delivering gold-standard information security processes to global banks. Acworth joins Encompass with extensive experience in the technology space and will oversee the company’s information security team and…
REGnosys Works with WISE to Empower Women in Tech
REGnosys has joined forces with WISE, a UK specialist in STEM gender parity, as part of a project to empower women tech leaders. The collaboration aims to champion women role models in tech and inspire young women to pursue careers in STEM (science, technology, engineering and mathematics). With women making up only 24% of the…
Encompass Appoints Former CEO of CoorpID Job den Hamer as Head of Business Development
Encompass Corporation, a provider of real-time digital Know Your Customer (KYC) profiles that recently acquired CoorpID and Blacksmith KYC from ING, has named Job den Hamer, former CEO of CoorpID, as head of business development to bolster the company’s mission to underpin KYC with Corporate Digital Identity (CDI). With more than 20 years of experience…
Broadridge Names Mike Sleightholme as President of Broadridge International
Broadridge Financial Solutions has appointed Mike Sleightholme as president of Broadridge International. Sleightholme, who is based in London, will be responsible for delivering the company’s capital markets technology and data solutions throughout the EMEA and Asia Pacific regions. Sleightholme first joined Broadridge in 2022 as president of its Asset Management Solutions business where he was…
Persefoni Boss Mohin Chosen to Sit on FCA’s ESG Advisory Board
Tim Mohin, chief executive of data provider Persefoni, is among the sustainability-linked financial figures selected to help shape the UK’s regulatory response to ESG issues. The former Global Reporting Initiative chief will be joined by five other executives on the Financial Conduct Authority’s ESG Advisory Board. They include Harald Walkate, senior fellow at the Center for…
More Names Added to Bring ISSB Team to 10
Four more members have been added to the International Sustainability Standards Board (ISSB), the IFRS Foundation’s recently created body that’s been tasked with hammering out an international framework for ESG reporting. They are Richard Barker, of the University of Oxford Saïd Business School’s sustainable business initiatives; Verity Chegar of California State Teachers’ Retirement System; Bing…
SmartSearch Appoints Former Dow Jones Executive as CEO
SmartSearch, an anti-money laundering specialist using electronic entity verification, has named Guy Harrison as CEO with responsibility to drive the company’s strategic growth plan. Harrison joins from Dow Jones, where he was general manager of the company’s risk and compliance business. He takes over the CEO role from SmartSearch CEO and founder John Dobson, who…
Featured
FEATURED WEBINAR
Upcoming Webinar: GenAI and LLM case studies for Surveillance, Screening and Scanning
6 November 2025 11:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes As Generative AI (GenAI) and Large Language Models (LLMs) move from pilot to production, compliance, surveillance, and screening functions are seeing tangible results — and new risks. From trade surveillance to adverse media screening to policy and regulatory scanning, GenAI and…
FEATURED EVENT
RegTech Summit New York
Now in its 9th year, the RegTech Summit in New York will bring together the RegTech ecosystem to explore how the North American capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.
FEATURED GUIDE
Regulatory Data Handbook 2024 – Twelfth Edition
Welcome to the twelfth edition of A-Team Group’s Regulatory Data Handbook, a unique and useful guide to capital markets regulation, regulatory change and the data and data management requirements of compliance. The handbook covers regulation in Europe, the UK, US and Asia-Pacific. This edition of the handbook includes a detailed review of acts, plans and…
Top White Papers
Unleashing the Power of AI for Financial Institutions with Snowflake and Amazon Web Services
Financial institutions are among the largest users of AI, deploying it for a range of use cases that, while already wide, will broaden in the future. A report by the International Monetary Fund has forecast that institutional spending on AI will surge 29% to US$97 billion by 2027. The technology has become crucial to automation...
How Advisory Firms are Integrating AI in Compliance
Two years after ChatGPT brought Generative AI (GenAI) into the mainstream, financial institutions are still exploring how best to harness this technology within their compliance functions. While the promise of increased efficiency and enhanced accuracy is clear, many compliance teams proceed cautiously, mindful of risks related to data security, regulatory compliance, and the need for...
Getting Control of Access to Key Market Services
Use of single dealer portals that allow banks to trade assets on behalf of their clients is growing rapidly, particularly among firms in the fixed income and foreign exchange markets in particular. But while trading portals offer great benefits in terms of broader market reach and enhanced client functionality, they bring risks too. Firms are...
Events and webinars
Upcoming Webinar: Managing Off-Channel Communications Compliance
8 May 2025 11:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes Managing off-channel communications – business interactions occurring outside of approved corporate systems – continues to challenge firms’ compliance efforts. The rise of personal messaging apps, social media, and other unmonitored channels – for example, messaging functionality embedded in an order management...
Upcoming Webinar: Best practice approaches to data management for regulatory reporting
13 May 2025 10:00am ET | 3:00pm London | 4:00pm CET Duration: 50 Minutes 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...
AI in Capital Markets Summit London
The AI in Capital Markets Summit will explore current and emerging trends in AI, the potential of Generative AI and LLMs and how AI can be applied for efficiencies and business value across a number of use cases, in the front and back office of financial institutions. The agenda will explore the risks and challenges of adopting AI and the foundational technologies and data management capabilities that underpin successful deployment.
Find out moreAwards
RegTech Insight Awards USA
A-Team Group has announced the winners of it’s RegTech Insight Awards USA 2024. These awards celebrate providers of leading RegTech solutions, services and consultancy and are uniquely designed to recognise both start-up and established providers who are creatively finding solutions to help with regulatory challenges, and span a wide range of regulatory requirements.
