Presentation from SIG meeting on 27 July to review updates to the trade surveillance regulatory agenda, review global artificial intelligence gaps and agree next steps.
Presentation from SIG meeting on 18 May to review updates to the trade surveillance regulatory agenda, review global accountability regimes and agree priorities for RegTech and SupTech tooling.
On Thursday last week, 5th November, the FCA published three Decision Notices, all prohibiting individuals from performing “any function in relation to any regulated activity carried on by any authorised or exempt persons or exempt professional persons” as each lacked “the necessary integrity and reputation required to work in the regulated financial services sector”. The offences
By PJ Di Giammarino Over the past few years, financial services firms have been investigating how to improve trade-related surveillance capabilities and techniques. Expectations from regulators and senior management have been placed under the microscope, mainly due to high surveillance noise levels across all communication channels and asset classes. In tracking this evolution of technologies
As we enter the year in which we will celebrate the 10th birthday of the G20 plan to make our financial services sector safe we wonder whether we are making enough progress? Armies of compliance staff are now required to run the firm and the standing armies are brought on in to help with the
New JWG research has found 374 ‘legislative initiatives’ targeted at financial services due in the next three years globally and regulators are increasingly less tolerant of poor data quality which is ever more crucial in demonstrating compliance. Thanks to MarkLogic, we are pleased to be able to host a global discussion on our findings. Come
You may have noticed that we snuck out a complete refresh of our websites this week. The revamped pages bring our thought leadership and technology offerings together for the first time. After 1,000,000+ page views from 190 countries since 2012, this was a big migration. Why do it now? Well, as readers of these pages
The CEO of a major bank admits wrong-doing and pays a fine in the UK, while the NY DFS still mulls the case over. The same day, a different CEO has to tell his shareholders that his bank will pay $1 billion fine for poor practices. Quite a different result for breaking a rule. With
At this year’s RegTech Capital Markets Conference a debate took place on the benefits of using RegTech for trade surveillance in the context of the evolving technical landscape, led by expert industry professionals on compliance and surveillance. Taking into consideration the volume and quality of data firms are expected to monitor, whether the current system