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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...


Top Blogs

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...

ACA Updates ESG Platform with Greater Private Market Capabilities

Governance, risk and compliance advisory firm ACA Group has updated its ESG data management platform to provide more flexibility to its private investment clients. The New York-based company has retooled the ACA Vantage for ESG platform it launched in 2022 after acquiring ESG data specialist Ethos. The new iteration enables greater configuration of data and...

Digital Communications Compliance 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...

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FEATURED WEBINAR

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,…

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…

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Top White Papers

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...

How to Build an Efficient Enterprise ESG Data Strategy in Banking with Cloud and Machine Learning

ESG investing is now integral to financial institutions’ activities, motivated by client demands for sustainable investment options, regulatory obligations and a growing cultural shift towards ensuring that capital is allocated in order to do better for the planet and the people on it. Data is the magic dust that is enabling the translation of that...

Events and webinars

Recorded Webinar: Preparing For Primetime – How to Benefit from the Global LEI

This webinar has passed, but you can view the recording here. Much has been made of the initiative to create a global standard legal entity identifier (LEI). Its backers have taken great pains to explain how the new identifier will improve transparency and contribute to the ongoing regulatory war against systemic risk. After months of...

Recorded Webinar: Practical Applications of the Global LEI – Client On-Boarding and Beyond

This webinar has passed, but you can view the recording here. With the March ‘launch’ of the global legal entity identifier (LEI), the marketplace now officially has a standard it can use for managing entity data. Post-Credit Crunch, the lack of such a standard has forced firms to embark on their own initiatives to create...

Recorded Webinar: FATCA – The time to act is now

This webinar has passed, but you can view the recording here. The US Foreign Account Tax Compliance Act – aka FATCA – raised eyebrows when its final regulations requiring foreign financial institutions (FFIs) to report US accounts to US tax authorities were published last year, but with the exception of a few modifications the legislation...

Awards

RegTech Insight Awards Europe

Nominations in the 5th annual RegTech Insight Awards Europe 2025 are now open. These awards recognise excellence in trading solutions and services for capital markets and focus on vendors providing exceptional trading infrastructure, trading technology, and data solutions.

 

Upcoming events

Upcoming webinars

Guides

  • Regulatory Data Handbook 2024 – Twelfth Edition

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  • Regulatory Data Handbook 2023 – Eleventh Edition

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