Tags Regulation

Tag: Regulation

From clearing challenges to a revolution in trade surveillance: The Eventus...

Travis Schwab - the CEO of Eventus - the global provider of state-of-the-art, at-scale trade surveillance software across all lines of defense – recently spoke...

The art of crafting effective regulatory compliance training programs

In a recent post, Saas firm Diligent detailed that regulatory compliance teams can build better training programs. 

The SEC and CFTC crack down: Record-keeping fines soar beyond $2.5bn

Theta Lake recently provided a deeper look into the high level of fines that are being aimed at financial institutions. 

How can technology help firms improve sustainability reporting?

As ESG becomes a major focus for regulators around the world, companies need to ensure they can cope with the regulatory requirements. One area...

What impact is the FCA Digital Sandbox bringing for RegTech startups?

While the RegTech sector is fairly young compared to some of its counterparts, the industry is brimming with energy and innovation

How has the ESG regulatory landscape changed since the last Earth...

On April 22, we celebrated the 53rd annual Earth Day to celebrate the planet and move further towards protecting and celebrating the Earth.

What are the opportunities for digitised regulation?

FinTech Global recently sat down for an interview with Clausematch and FINRA to find out the opportunities of digitised regulation.

Debunking 8 assumptions around QA in financial services

Quality assurance (QA) is an important process for financial services. It ensures products and services are compliant and that they meet customer demands. Aveni, a UK-based RegTech platform, has set out to debunk eight assumptions around QA within financial services.

What is the regulatory outlook for ESG in 2023

ESG is making an increasingly bigger influence in the financial markets. With this, the regulatory landscape is getting more complex, and firms are having to navigate a variety of legislative requirements.

UK’s PSR draws up new push payments fraud regulation

New rules set by the Payment Systems Regulator (PSR) will require UK banks to provide transparent data on how they are protecting customers from push payment fraud.

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