Conduct risk in financial services is a critical area that requires vigilant monitoring and robust surveillance mechanisms. Regulatory bodies, (FCA, FINRA and others) have tightened their scrutiny and financial institutions must adopt advanced approaches to effectively manage and mitigate conduct risk. This webinar will examine the latest methodologies and technologies used to address conduct risk, and where AI is making a meaningful difference.

The session will explore how integrating advanced analytics can transform conduct detection by ‘connecting the dots’ across data sources including transactional data, communication records, and performance metrics. By reducing false positives and enhancing the accuracy of risk detection, institutions can focus on genuine threats and streamline their compliance efforts. Attendees will gain insights into the practical application of these technologies and learn about the regulatory requirements and expectations surrounding conduct risk management.

Join this webinar to learn more about:

• Key conduct risk obligations – FCA, FINRA and others
• The importance of behaviour-centric surveillance in conduct risk detection
• Comprehensive e-comms surveillance strategies across various channels
• How AI and machine learning are reducing false positives and boosting productivity
• The importance of archiving and practical steps to achieving compliance

The post Upcoming Webinar: Addressing conduct risk: approaches to surveillance appeared first on A-Team.

Data management is central to asset management, but it can also be a challenge as firms face increased volumes of data, data complexity and the need to consolidate structured and unstructured data to gain valuable insights, improve decision-making, step up customer acquisition and compliance, and ultimately, gain competitive advantage in a market characterised by tight margins and rising operating costs.

This webinar will review the challenges of buy-side data management across structured and unstructured data, and approaches to improvement including data consolidation and automation. It will also discuss the potential of modern data management platform solutions to extract and configure data from diverse sources, provide visibility for better insights and decision making, ease regulatory reporting and optimise operational efficiency. Finally, it will offer practical guidance on planning and implementation, and touch on the role of emerging technologies in data management for the buy-side.

Register for the webinar to find out more about:

• The state of play on buy-side data management
• Challenges presented by structured and unstructured data
• How to resolve these challenges and improve data management
• The potential of modern data management platform solutions
• Practical guidance on planning and implementation
• Business benefits of best practice data management

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Trading strategy is in place, the technology stack is optimised and the trading team is highly skilled – but what about the user experience? Whatever the stack, the desktop, the trading apps and their functionality, a trading platform is only as good as its user interface (UI) and user experience (UX).

This webinar will review the importance of UX and why it needs to be front and centre in the trading workflow. It will consider the key elements of UX design including user centricity, context and consistency, and provide practical guidance on how to develop and implement an optimal experience for traders. The webinar will also discuss how to include AI and GenAI apps in the UX and highlight the benefits of an optimal solution.

Register for the webinar to find out about:

• The role of the UX in a trading workflow
• Best practice approaches to UX design
• Practical guidance on implementation
• How to include emerging AI and GenAI apps
• The benefits of an optimal UX solution

The post Upcoming Webinar: Smart Trader Desktops: Placing UX at the front and centre of the trading workflow appeared first on A-Team.

Since ChatGPT exploded onto the scene in late 2022, financial markets participants have been trying to understand the opportunities and risks posed by artificial intelligence and in particular generative AI (GenAI) and large language models (LLMs).

While the full value of the technology continues to become apparent, it’s already clear that AI has enormous potential to accelerate and streamline data processes, with the promise of substantial productivity gains and competitive advantage.

This webinar will discuss the results of a survey of buy-side data professionals conducted by A-Team and Rimes Technology exploring the appetite, attitudes and approaches to AI in the asset management function.

The webinar will explore:

• How buy-side institutions and institutional investors are managing their AI transformation
• Financial institutions’ attitudes and goals regarding the implementation of AI
• Their progress in achieving those targets
• The pain points that they are encountering
• The factors that are holding back those firms that have been slower to adopt AI capabilities.

The post Upcoming Webinar: AI in Asset Management: Buy-Side Attitudes toward GenAI and LLMs appeared first on A-Team.

Managing financial crime risk requires a comprehensive approach to due diligence, screening, and continuous monitoring. Financial institutions face increasing regulatory scrutiny and staying compliant in today’s dynamic environment requires advanced technologies. Failure to comply is resulting in severe enforcement penalties. This webinar will explore practical strategies and tools for mitigating financial crime risk, focusing on AI-powered solutions and best practices in due diligence and screening.

The session will cover how institutions can implement robust risk management frameworks that incorporate the latest artificial intelligence (AI) techniques and advanced analytics to detect and mitigate financial crime. Attendees will gain insights into the latest technologies for screening and continuous due diligence, and an understanding the regulatory expectations and requirements.

Join the webinar to discover:

• Practical steps for implementing a comprehensive financial crime risk management framework
• Key regulatory requirements and expectations from global regulators
• Best practices for screening and continuous due diligence
• How AI and machine learning enhance screening and due diligences processes
• Integrating advanced analytics with traditional risk management approaches
• Case studies demonstrating successful implementation of advanced screening tools

If you would like to submit a question to this expert panel to respond to during the webinar, please complete the relevant field in the right hand panel.

The post Upcoming Webinar: Effective due diligence, screening and monitoring to mitigate financial crime risk appeared first on A-Team.

Artificial intelligence and machine learning are empowering financial institutions to get more from their data. By augmenting traditional data processes with these new technologies, organisations can automate the detection and mitigation of data issues and errors before they become entrenched in workflows.

In this webinar, leading proponents of augmented data quality (ADQ) will examine how this emerging trend in technology-led automation can foster trust in datasets and lead to better decision-making and favourable outcomes across enterprises. The webinar will also look at the challenges that can complicate the adoption of ADQ and the pitfalls that might befall an organisation if it is unable to trust its data.

Register for this webinar to discover:

• How AI is enhancing financial institutions’ data management processes
• Best practices for implementing ADQ
• The importance of having data that can be trusted
• Case studies of ADQ’s application
• Overcoming challenges to its implementation.

The post Upcoming Webinar: Augmented data quality: Leveraging AI, machine learning and automation to build trust in your data appeared first on A-Team.

Regulatory change management has become a norm across financial markets but a challenge for financial institutions that must monitor, manage and adapt to ensure compliance with both minor and major adjustments to obligations. This year is particularly troublesome, with major upgrades to EMIR Refit, Markets in Financial Instruments Directive II (MiFID II) and Markets in Financial Instruments Regulation (MiFIR) to name but a few.

This webinar will review upcoming regulatory changes, describe detailed requirements, and discuss practical considerations for change management. It will also cover the need for speed to meet this year’s deadlines, types of RegTech solutions that are helpful here, and the potential of technologies such as machine learning, AI and generative AI to ease the burden and improve the efficiency of regulatory change management.

Join the webinar to find out more about:

• Upcoming regulatory change and its obligations
• Practical considerations for change management
• Helpful RegTech tools, techniques, solutions and services
• Potential of machine learning and AI to ease the burden
• Benefits of getting it right, penalties of getting it wrong

The post Upcoming Webinar: Practical considerations for regulatory change management appeared first on A-Team.

Fitness and proprietary requirements for employees of financial institutions are not an option, but a regulatory obligation that calls on employers to regularly assess employees’ honesty, integrity and reputation, competence and capability, and financial soundness. In the UK, these requirements are a core element of the Senior Managers and Certification Regime (SMCR). They are also a factor of accountability regimes in other jurisdictions.

This webinar will review fit and proper requirements, discuss approaches to implementation, and consider how firms can ensure continual assessment of employees as part of compliance processes. It will also touch on the opportunities of getting fit and proper right and the potential damage of a break in compliance.

Register for the webinar to find out about:

• The details of fit and proper requirements
• Regulatory and global accountability regimes
• Best practice implementation processes
• Ongoing employee assessments and compliance
• Benefits of getting it right, penalties of getting it wrong

The post Upcoming Webinar: How to ensure employees meet fit and proper requirements under global accountability regimes appeared first on A-Team.

Unstructured data is voluminous, unwieldy and difficult to store and manage. For capital markets participants, it is also key to generating business insight, making better-informed decisions and delivering both internal and external value. Solving this dichotomy can be a challenge, but there are solutions designed to help financial institutions digest, manage and make best use of the data.

This webinar will review the challenges presented by unstructured data, discuss its potential, and provide practical guidance on strategies, tools and techniques that can be used to extract value from the data. It will also consider underlying technologies such as natural language processing (NLP), artificial intelligence (AI) and generative AI (GenAI). In conclusion, the webinar will discuss the benefits of successful approaches to unstructured data.

Register for the webinar to find out more about:

• The extent to which financial firms are using unstructured data
• Challenges of sourcing, managing and analysing the data
• Strategic approaches to extracting value from unstructured data
• Practical advice on helpful tools, techniques and technologies
• Benefits of getting it right, penalties of getting it wrong

The post Upcoming Webinar: Strategies, tools and techniques to extract value from unstructured data appeared first on A-Team.

This webinar will survey the landscape of existing and emerging data standards and identifiers, and provide practical guidance on how to maximise their use beyond compliance. It will consider use cases such as improving decision making, reducing risk, enhancing customer service, and identifying new business opportunities, as well as the challenges and solutions of gaining these business benefits.

Listen to the webinar to find out about:

• Existing and emerging data standards and identifiers
• Best practice approaches to adding value beyond compliance
• Business use cases and how to maximise their return
• Technology challenges and solutions of gaining business benefits
• The role of data standards and identifiers in business going forward

The post Recorded Webinar: How to maximise the use of data standards and identifiers beyond compliance and in the interests of the business appeared first on A-Team.