Tbricks

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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GenAI and LLM Adoption in Compliance: Implementation Insights from Saifr’s Harsh Pandya

The Saifr sponsored whitepaper – From Caution to Action: How Advisory Firms are Integrating AI in Compliance – published in November, had several key themes surrounding the adoption of generative AI (GenAI) enabled technologies for compliance functions by advisors and wealth management companies. We recently covered the theme of in-house versus vendor-supplied solutions in an interview...

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RegTech Summit London

Now in its 9th year, the RegTech Summit in London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.

AI in Capital Markets: Practical Insight for a Transforming Industry – Free Handbook

AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond...