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ASIC encouraging financial firms to adopt regtech
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ASIC encouraging financial firms to adopt regtech

The Australian Securities and Investments Commission (ASIC) has announced three events in Sydney aimed at encouraging financial services firms to adopt regulatory technology (regtech) solutions. The corporate watchdog’s announcement states that the events are opportunities for regtech providers of all sizes to showcase their solutions to representatives from government, finance, […]

Securities Commission Malaysia publishes principles on continuity in capital markets
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Securities Commission Malaysia publishes principles on continuity in capital markets

The Securities Commission Malaysia (SC) has published its Guiding Principles on Business Continuity for capital market entities. These principles set out SC’s expectations of the business continuity management within capital markets, in order to ensure quick continuity of critical services and fulfilment of business obligations when there are disruptions. This […]

Will KYT drive technology innovation in banking compliance?
Compliance cyber security data protection data strategy finance Market Data

Will KYT drive technology innovation in banking compliance?

From KYC to KYT: the need to “know your transaction” Know your customer (KYC) forms the bedrock of financial crimes compliance, from customer identification and acceptance to monitoring customers’ transactions against their recorded profile, expected behaviour and peer group behaviour. So understandably, customer profile creation and risk classification become the […]

London unshakable as top financial destination, even New York trails behind
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London unshakable as top financial destination, even New York trails behind

Britain is now the world’s number 1 destination for all types of the financial market investment. Here is our detailed report There have over the years been many a dubious speculation relating to where the majority of the world’s financial investment transactions take place, however, when a genuine report is […]

The Innovation Race With Fraudsters Worldwide
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The Innovation Race With Fraudsters Worldwide

For every innovation in payments and commerce worldwide – faster payments, marketplace-based commerce, self-service retail – there always seems to be a fraudster waiting in the wings. And while the opportunities for innovative advancements are many, the costs of fraud are high and growing. Which is why the new race in […]

What is Sustainable Finance and how will impact the EU’s new rules impact financial services?
Compliance data protection data strategy digital approach finance Innovation Regulation

What is Sustainable Finance and how will impact the EU’s new rules impact financial services?

What is sustainable finance and what are the consequences for the existing or future governance framework of financial institutions? While the EU’s fight against climate change through changes to the regulatory structure is in full swing, the financial services industry is only at the beginning of the paradigm shift that […]

Banking regulations and fintech compliance: A two-fold approach to risk management
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Banking regulations and fintech compliance: A two-fold approach to risk management

Financial technology, or fintech, companies are revolutionizing the services offered by financial institutions. However, innovation isn’t without risk. We break down the risks and how to approach your risk management program for all parties. Fintech companies are on the rise and rapidly replacing traditional banking functions with smart technology. Banks […]

How To Avoid Nightmares When Onboarding AI-Powered Regtech
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How To Avoid Nightmares When Onboarding AI-Powered Regtech

The rapidly expanding realm of artificial intelligence (AI) presents a powerful tool for meeting the requirements of regulatory oversight. But like any powerful tool, using it incorrectly can lead to disaster. I have seen firms allocate large budgets to onboard extremely advanced technology to solve a particular challenge, but their […]

How Regulated Industries Can Put Their Compliance On Autopilot
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How Regulated Industries Can Put Their Compliance On Autopilot

Corporate compliance is a hot topic these days. From the General Data Protection Regulation (GDPR)’s the big introduction in the EU last year to the daily headlines about data breaches, we’re constantly reminded of the impact and costs of noncompliance. For example, in 2017, Nissan Co. lost its ISO 9001 certificates […]