RegTech Insight Governance The latest content from across the platform
Operational Resilience Ranks High on Regulators’ List of Concerns
Increased regulatory scrutiny of operational resilience in capital markets is forcing firms to take a more proactive approach to maintaining critical business functions. Continuity planning inevitably comes into focus during major events such as a global pandemic. But regulators’ concerns around the prevalence of other incidents – from ransomware attacks to natural disasters – have…
Digital Regulatory Reporting: The Turning Point for Compliance in 2022
By Leo Labeis, CEO at REGnosys. Regulatory reporting has long been mired by ambiguous and conflicting rules but new requirements this year and an industry-wide move to greater collaboration look set to usher in much needed change. For financial institutions, the upcoming CFTC Rewrite and EMIR Refit deadlines present a timely opportunity to review their…
19 Best Transaction Reporting Solutions in 2022
Transaction reporting is demanded of financial institutions by multiple regulatory regimes, with the goal of detecting suspected market abuse or money laundering. To comply, firms need to ensure their systems are able to deliver complete and accurate information about the financial instrument traded, the firm undertaking the trade, the buyer and seller, and the date…
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…
Surveillance Experts Discuss Impact on Segment of WFH
In case you missed it, watch below to hear this panel at our recent RegTech Summit Virtual discuss managing trade and communications surveillance in the new world of work. The panelists include: Moderator: Matthew Bernstein, Information Governance Strategist, MC Bernstein Data Yasmine Li, Head of EMEA Surveillance, Macquarie Group Stan Yakoff, Head of Americas Supervision,…
SFDR: Dilemma of Shakespearean Proportions Looms Amid Scope Three Preparations
This article first appeared on A-Team Group’s ESG Insight channel. Financial institutions putting compliance processes in place for the European Union’s Sustainable Finance Disclosure Regulations may be reminded of Claudius’ dilemma in Hamlet. “When sorrows come, they come not single spies, but in battalions,” the usurper king bemoans as he contemplates an avalanche of challenges…
RegTech Summit Virtual: The Outlook for Regulatory Compliance and RegTech in a Digital Economy
The role of digital transformation in the growth of the RegTech sector cannot be overstated, but a number of complex challenges and barriers to more widespread adoption remain. Launching A-Team Group’s two day RegTech Summit, this first panel brought together a group of leading industry figures to discuss the major compliance issues from the perspective…
A-Team Extends, Expands and Releases 2021/2022 Edition of Regulatory Data Handbook
Don’t miss the latest edition of A-Team Group’s Regulatory Data Handbook, a publication dedicated to helping you gain a full understanding of regulations related to your organisation from the details of requirements to best practice implementation. The 2021/2022 handbook covers more than 40 regulations, providing you with a detailed description of each regulation including its…
IQ-EQ Acquires Greyline Partners to Boost US Presence
In its fourth US acquisition in two years, London-based regulatory technology specialist IQ-EQ has bought Greyline Partners, which offers outsourced governance and regulatory compliance solutions for the alternative asset sector, including hedge funds, venture capital, private equity and high net-worth investors. Greyline’s recently launched GCM Advisory outsourced CFO, finance and accounting business is also included in…
GDPR Reform: How Will a New Data Protection Regime Impact UK Financial Firms?
The data protection regulatory regime in the UK could soon look very different, if proposed changes to the current UK General Data Protection Regulation (UK GDPR) come to fruition as part of a recently published UK government plan to move its data protection laws in a new direction following the country’s split from the EU….