Ab Initio

Recorded Webinar: Managing Off-Channel Communications Compliance

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 system – exposes firms to substantial regulatory risk. Enforcement actions by regulatory bodies, such...

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Leading Platforms and Frameworks to Support Trading Application Development

Building trading systems has never been more complex or more critical to competitive differentiation, as firms across the buy side and sell side – as well as exchanges and trading venues – face immense pressure from infrastructure demands, market volatility, and regulatory scrutiny. In response, the ability to build and adapt trading applications quickly has...

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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.

Regulatory Data Handbook 2025 – Thirteenth Edition

Welcome to the thirteenth edition of A-Team Group’s Regulatory Data Handbook, a unique and practical guide to capital markets regulation, regulatory change, and the data and data management requirements of compliance across Europe, the UK, US and Asia-Pacific. This year’s edition lands at a moment of accelerating regulatory divergence and intensifying data focused supervision. Inside,...