10 Sanctions RegTech priorities

The political process by which sanctions are agreed is difficult but the process for implementing them is worse. As a result, sanctions are not nearly as effective a weapon as we would like to think they could be. Ten RegTech building blocks are on the table for discussion – how do we configure a case


The UK Treasury has moved to close a loophole in the Money Laundering Regulations (MLR 2017) that potentially allowed crypto asset firms to bypass the UK’s registration gateway, according to a government document published on June 15. Previously firms could notify the Financial Conduct Authority (FCA) after a change of ownership occurred. Now crypto asset


Hack-to-trade schemes and confidential information dealing on the dark web, combined with regulatory warnings about firms’ management of material non-public information (MNPI), are raising further concerns about markets’ ability to keep a lid on insider dealing and other forms of manipulation. The number of cases brought against individuals using stolen data or MNPI to trade,


Economic crime: policy simulator 2022

The way we look at economic crime risks and controls is changing. Sanctions and other drivers have forced institutions to take a more holistic view of risk disciplines and integrate process that on-board clients, screen their transactions and monitor the marketplace. This policy space is ideally suited for an idea contributed by a late RegTech


Economic crime RegTech – countdown!

As sanctions barriers rise and market access is cut off for a digitized market, AML/TF and Surveillance capabilities need to respond quickly with safe and appropriate RegTech.  Join us on 23rd June as 16 market SMEs discuss what this means and what comes next. Register Here In this seminar, leading AML, KYC, Terrorist Financing, Sanctions


Compliance teams can no longer assume that policies which mandate all communication channels are monitored safely behind the firm’s firewall are fit for purpose. Management teams must balance a three legged stool of surveillance policy: generation of alpha in the market, controlling conduct risk, and providing for employees’ wellbeing. In advance of JWG’s 23 June


Culture war topics, the spread of misinformation, and the war in Ukraine have further complicated firms’ social media presence and their efforts to craft policies guiding what employees should and should not say online. Firms should reassess policies guiding employees’ social media posts on accounts linked to the company and weigh up whether they are


The UK Financial Conduct Authority (FCA) is seeking to improve its market surveillance technology and has tendered for a systems upgrade, a sentiment analysis tool and data sets. It is looking to update and develop the functionality, scope, or capabilities of its existing solution, according to the FCA’s procurement portal. The regulator collects trade information