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Recorded Webinar: How to leverage Generative AI and Large Language Models for regulatory compliance
Generative AI (GenAI) and Large Language Models (LLMs) offer huge potential for change across capital markets, not least in regulatory compliance where they have the capability to help firms understand and interpret regulations, automate compliance, monitor transactions in real time, and flag anomalies in the same timeframe. They also present challenges including explainability, responsibility, model…
S&P Global’s Cappitech Extends Pirum Collaboration for SEC Rule 10c-1a
Pirum, the London based, post-trade services and securities financing automation vendor and the Cappitech unit of S&P Global Market Intelligence have extended the functionality of their joint Securities Financing Transaction Reporting (SFTR) solution to address the upcoming SEC rule 10c-1a, which covers the reporting of securities lending transactions. The two originally partnered in 2021 to…
Droit and FINBOURNE Partner to Produce Position Reporting Solution
Droit, a provider of computational law and regulation, is partnering FINBOURNE Technology, a provider of cloud-based investment data management software, to deliver an end-to-end position reporting solution. The integration embeds Droit’s Position Reporting product that delivers determination of reporting obligations based on consensus interpretations of requirements from Endoxa, a consortium of six global financial institutions,…
Bloomberg Releases Tool for Sustainable Investment Screening
Bloomberg has released a tool that helps investors assess portfolios, funds and indices based on sustainability criteria and thresholds customised by the user. Available on the Bloomberg Terminal and based on the company’s ESG data, the solution facilitates a transparent screening process and can be used for both making investment decisions and to help clients…
A-Team Group Names Winners of Innovation Awards 2024
A-Team Group has named the winners of its prestigious Innovation Awards 2024. The awards celebrate innovative projects and teams across vendor and practitioner communities that make use of new and emerging technologies to deliver high-value solutions for financial institutions in capital markets with a focus on data management, trading technology, RegTech or ESG. This year’s…
Generative AI in RegTech: Promise, Pitfalls and a Glimpse Into the Future
The release of ChatGPT in October 2022 created an overnight sensation and Artificial Intelligence (AI) now dominates every corner of the business news cycle including financial services and capital markets. Before ChatGPT, the world of AI/ML revolved largely around data scientists and communities of developers on GitHub. Financial institutions have been leveraging AI technologies for…
Dow Jones Risk & Compliance Deploys Generative AI to Transform Due Diligence
Dow Jones Risk & Compliance has launched an AI-powered research platform to help clients reduce the time and effort in building investigative due diligence reports from multiple sources. The new offering aims to reshape compliance workflows, creating an additional layer of investigation that can be deployed at scale. Dow Jones Integrity Check is an automated…
T+1 and Voice Analytics to Feature at Symphony Innovate 2024 (NYC)
A-Team Group recently caught up with Ben Chrnelich, President and CFO of Symphony Communications to discuss how their Enterprise Collaboration and Workflow platform is helping firms prepare for T+1 – which goes live on May 28, and the significant uptick in e-comms messaging volume over their Federated Communications offerings. Both of these core offerings will…
ValidMind Secures $8.1 Million for Model Risk Management and AI Governance Solutions Development
ValidMind has secured $8.1 million in a seed funding round. The investment will focus on developing model risk management and AI governance within the banking and financial services sectors. The company says the seed round was over-subscribed, demonstrating support from investors in its long-term vision to be the certifying authority for all AI solutions, starting…
NICE Actimize ARCHIVE-X Offers Single Source Regulatory Record Keeping
NICE Actimize has released ARCHIVE-X, a cloud-based, all communications archiving and records management solution that provides buy-side, sell-side and online trading platforms with one solution to support regulatory requirements for communications archiving and records management. The aim is to help financial institutions achieve more robust records lifecycle management and reduce compliance risk by archiving all…