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WEBINAR
Recorded Webinar: Holistic Conduct & Surveillance: Unifying Trade, Voice, and eComms Data with AI
Surveillance in capital markets has evolved in silos. Trade surveillance, voice recording, and electronic communications monitoring have traditionally operated as parallel control functions, each with distinct datasets, workflows and alerting logic. Yet recent enforcement actions on both sides of the Atlantic – ranging from off-channel communications failures to market manipulation cases – demonstrate a consistent...
BLOG
ThetaRay Extends Agentic AI into AML Investigations with Ray
As regulatory expectations around anti-money-laundering (AML) effectiveness continue to rise, many financial institutions are finding that the greatest operational pressure now sits in investigations rather than detection. While transaction monitoring models have advanced, the downstream work of reviewing alerts, assembling evidence and documenting decisions remains labour-intensive and difficult to standardise. ThetaRay is addressing this challenge...
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.
GUIDE
Corporate Actions USA 2010
The US corporate actions market has long been characterised as paper-based and manually intensive, but it seems that much progress is being made of late to tackle the lack of automation due to the introduction of four little letters: XBRL. According to a survey by the American Institute of Certified Public Accountants (AICPA) and standards...


