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RegTech Insight Webinars
Recorded Webinar: A practical guide to dual UK and EU regulatory reporting as the Temporary Permission Regime comes to a close
The Temporary Permission Regime (TPR) allowing capital markets participants in the European Economic Area (EEA) to continue to operate in the UK post Brexit will be withdrawn by the end of 2023, calling on firms that want to stay in the UK to gain full authorisation from the FCA and prepare to comply with both...
Recorded Webinar: Leveraging NLP for regulatory compliance
As regulatory compliance becomes more complex, requires larger volumes of data – both structured and unstructured, and comes under greater scrutiny by regulators, financial institutions are looking for RegTech solutions that can help them increase efficiency, reduce costs, and improve the accuracy of regulatory data. One such solution is natural language processing (NLP), which can...
Recorded Webinar: Embracing cloud in your firm’s regulatory response
Regulatory compliance is a key function for financial institutions. It is also a huge burden in terms of time, data management, systems resources, manual intervention, and reporting. As financial firms progress digital transformation programmes, is it time to move regulatory reporting to the cloud with a view to improved efficiency, reduced costs and better business...
Recorded Webinar: Adding value and improving efficiencies in sanctions screening
Sanctions have been headline news this year. They are growing in number, sanctions lists are changing on a daily basis, and there can be conflict between sanctions issued by different jurisdictions – the whole calling for financial institutions to optimise sanctions screening to reduce risk and avoid potentially punitive penalties of non-compliance. This webinar will...
Recorded Webinar: Modernising Data Infrastructures: Challenges and opportunities of managing complex financial data and analytics in hybrid and multi-cloud environments
As they forge ahead with their digital transformation programs, financial institutions are finding that the internal platforms they use to manage complex data sets for trading, investment, risk, and compliance are no longer fit for purpose. The ongoing shift toward cloud hosting is forcing practitioners to manage the transition from deeply entrenched legacy platforms to...
Recorded Webinar: The future of KYC and AML: How to tackle the challenges and gain the opportunities of perpetual KYC
Perpetual Know Your Customer (or pKYC) could be a game changer for client onboarding, due diligence and financial crime compliance. Moving on from today’s reactive approach that conducts client KYC processes at onboarding and typically at one, three and five year intervals, pKYC takes a proactive approach, creating a digital KYC profile and dynamically refreshing...
Recorded Webinar: FRTB: What still needs to be done before the global deadline of January 2023?
While implementation of Fundamental Review of the Trading Book (FRTB) regulation has been delayed twice for reasons first of complexity and second of the coronavirus pandemic, the final deadline of January 1, 2023 is less than a year away. For banks in scope of the regulation, the time to put necessary risk infrastructure and data...
Recorded Webinar: Regulatory change management – challenges, solutions and case studies
Regulatory change has become part of the fabric of capital markets. It has also become increasingly complex as more regulations are introduced, significant amendments are made frequently, and small changes are made on a rolling basis – the whole made more difficult by jurisdictional interpretation and the UK’s amended regulatory regime post Brexit. If keeping...
Recorded Webinar: FINRA CAT CAIS: What to Expect – Giving Regulators Full Access to Your Customer & Account Data
Join n-Tier and a panel of industry experts to discuss implications of the SEC’s Consolidated Audit Trail (CAT) Customer & Account Information System (CAIS) Phase 2e. The initial phase of CAIS was the start of a new era for broker-dealer Onboarding and Account Management teams, turning customer and account reference data into a daily regulatory...
Recorded Webinar: Managing unstructured data to ensure regulatory compliance and add value
As unstructured data floods into capital markets in the wake of traditional structured data, firms must manage both data types and ensure ease of access to extract data required for regulatory compliance efficiently and effectively. Beyond compliance, firms can add value to the business by gaining a clear understanding of their unstructured data, integrating the...