RegTech Insight Governance The latest content from across the platform
RegTech Summit Keynote Discusses How to Cut Compliance Costs by 15-20%
A-Team Group’s recent RegTech Summit Virtual got off to a cracking start with a keynote presented by Niresh Rajah, managing director and head of data in the RegTech and digital assurance practice at Grant Thornton, and covering everything from the evolution of RegTech 2.0 to driving value out of the technology. An early poll asking…
Recorded Webinar: Getting ready for Sustainable Finance Disclosure Regulation (SFDR) and ESG – what action should asset managers be taking now?
Interest in Environmental, Social and Governance (ESG) investment has exploded in recent years, bringing with it regulation and a requirement for buy-side firms to develop ESG strategies and meet disclosure obligations. The sell-side can help here by integrating ESG data with traditional financial information, although the compliance burden remains with asset managers. The EU Sustainable…
Recorded Webinar: Best practices for regulatory reporting
Regulatory reporting has been a cost and resource burden for financial institutions for many years, with the race to compliance in a highly regulated market often leading to multiple, singular regulatory reporting solutions. Legacy systems add to the challenges of making reporting changes in line with adapted and new regulations. This webinar will address these…
Surveillance 2.0 – Turn Up the Signal, Wipe Out the Noise
By Joseph Schifano, Global Head of Regulatory Affairs, Eventus Systems. Trade surveillance is a complex discipline, dependent on the processing and filtering of masses of data. Its mandate is constantly increasing too, with the relentless iterations of regulatory and market change demanding the monitoring of more asset classes across more business lines and against an…
Advancing Regulatory Data Collections Systems
By Ken Lamar, Founder and Principal Partner, Lamar Associates LLC (With Robert Lee, Executive Director, North America Client Engagement, AxiomSL). Regulators are beginning a journey to design the next generation of data collection systems. A critical aspect of the design process is the need for new data capabilities to effectively conduct supervisory activities to ensure…
Recorded Webinar: Data management for ESG requirements
Environmental, Social and Governance (ESG) investing is moving into the mainstream, requiring asset managers to develop ESG strategies that deliver for both the firm and its investors. While these strategies can outperform those that do not include ESG factors, there is no clear route to success in an immature market that is only just beginning…
One Year On: Banks Resume Prioritization of FRTB, but Same Challenges Persist
By: Essan Soobratty, Regulatory Product Manager, and Eugene Stern, Head of Market Risk Product, Bloomberg. One year on from the start of the global pandemic which sent global markets into turmoil and prompted regulators to introduce a range of emergency measures to support the financial system and the broader economy, banks are continuing their return…
Recorded Webinar: Improving data integrity to address regulatory requirements
Financial institutions today face a global regulatory landscape characterised by rigorous and varied reporting requirements across their businesses. Reporting challenges include completing more data fields across more lines of business with greater frequency, adding complexity and cost. At the same time, there is waning tolerance among supervisory bodies for errors, issues or delays – as…
Recorded Webinar: The UK’s New Prudential Regime for Investment Firms – Time to Prepare!
With the implementation of the new Investment Firms Prudential Regime (IFPR), the FCA is aiming to streamline and simplify the prudential requirements for solo-regulated investment firms in the UK. Under the new regime, all MiFID authorized, Collective Portfolio Management Investment Firms (i.e. UK UCITS ManCo and Alternative Investment Fund Management Firms permitted to undertake Additional Activities)…
Post-Brexit UK Sanctions Regime Adds Complexity as Firms Wrestle with Global Compliance
The post-Brexit UK sanctions regime has added complexity to firms’ efforts to comply with international sanctions regimes, in some cases changing their appetite for risk, according to a recent A-Team webinar on the topic. And although much of the UK regime has been transposed from EU regulation, small but significant changes are adding to the…