Dow Jones Newswires

Recorded Webinar: Managing Off-Channel Communications Compliance

The compliance challenge around off-channel communications has moved beyond the familiar narrative of WhatsApp messages on personal phones. Today, the real issue confronting firms has become communication sprawl: conversations occurring across messaging apps, collaboration platforms, social media direct messages, personal email, and even messaging tools embedded within trading and workflow applications. Regulators’ expectations focus on...

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SEC Introduces “Innovation Exception” to Allow Regulated Trading of Tokenised Securities

In a landmark move that significantly advances the implementation of a regulated tokenised securities marketplace in the US, the Securities and Exchange Commission (SEC) has granted a temporary and conditional “exemption” to allow new Tokenised Securities Venues (TSVs) to operate and trade tokenised National Market System (NMS) stocks without registering as a traditional exchange. The...

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RegTech Summit London

Now in its 10th year, RegTech Summit London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to innovate the compliance function and response.

Regulatory Data Handbook 2026 – Fourteenth Edition

Welcome to the fourteenth edition of A-Team Group’s Regulatory Data Handbook. Supervisors increasingly expect firms to demonstrate which rules apply, which data supports each obligation, who owns the control and how exceptions are identified and resolved. Policies and implementation programmes must now be supported by records that can withstand regulatory scrutiny. This edition examines material...