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New EU rules push investment firms towards greater execution transparency
The European Securities and Markets Authority (ESMA) recently released two major updates that are set to reshape compliance obligations for investment firms and asset managers across the EU.
End-of-life call recording systems pose critical compliance risk for financial firms
Regulated financial institutions relying on outdated voice recording systems such as NTR and Red Box Quantify are facing a looming compliance deadline. As these...
Ocorian selects Fenergo to boost regulatory efficiency and enhance client onboarding
Ocorian has entered into a partnership with Fenergo, a leading provider of AI-powered CLM solutions, to enhance its digital compliance infrastructure and streamline client...
How compliance leaders can harness AI responsibly in financial services
Artificial intelligence is no longer a future prospect for financial services; it is a present reality, evolving quickly and reshaping the compliance landscape. From enhancing risk detection to improving operational efficiency, AI offers immense potential. However, its rapid adoption also brings fresh regulatory questions, new risks, and ethical challenges.
Why accuracy matters in SFDR reporting for Article 8 and 9...
With Regulation (EU) 2019/2088 on sustainability‐related disclosures in the financial services sector (SFDR) now firmly embedded in industry practices, asset managers are once again...
Credit unions must embed compliance in tech onboarding to reduce risk
In today’s fast-moving workplace, many employees are familiar with the surprise of a new software platform suddenly appearing on their screens—often with little to no prior warning or consultation. While well-intended, these abrupt technology rollouts can lead to unintended disruption, especially when key users are left out of the decision-making process.
Scaling Consumer Duty success with digital tools and deterministic models
Since its official launch in July 2023, the Financial Conduct Authority’s (FCA) Consumer Duty has become a cornerstone of UK financial services regulation. Designed...
From audit trails to accountability: how traceability transforms compliance
In today’s rapidly shifting regulatory landscape, firms are under mounting pressure to shift from reactive to proactive compliance. The days of treating compliance as...
SmartStream unveils RegRegistry Service to streamline global regulatory reporting
SmartStream has launched its new RegRegistry Service, aimed at helping financial institutions streamline their regulatory compliance processes.
Tariffs are reshaping global supply chains – here’s how companies can...
In today’s interconnected trade environment, tariffs have moved beyond mere instruments of policy negotiation to become disruptive forces capable of destabilising global business operations.
