RegTech Insight, from A-Team Group

Haimera Workie, Vice President and Head of Financial Innovation at FINRA – Office of Financial Innovation will be interviewed by Minerva Tantoco, Member, Financial Innovation Advisory Board, New York State Department of Financial Services for a Regulator Keynote on a Regulator's perspective on AI at RegTech Summit New York on November 21st. Up for discussion: ✅How does the current regulatory framework support AI and is any further clarification needed? ✅How is the Regulator continuing to invest in data and technology to support digital markets and responsible AI? ✅What are the priorities and key messages for firms as they develop AI compliance strategies? Don't miss it - register here: https://lnkd.in/gs2A4DB4 #RTSNYC #regtech #regulators #keynote #AI #data #technology #digitalmarkets #AIcompliance #AIethics

ACA Group has acquired Effecta Compliance Limited, a regulatory consultancy serving financial services firms in the UK and the United Arab Emirates (UAE). This strategic move marks ACA’s entry into the Middle East, enhancing its ability to support clients operating in or expanding to the UAE. Details: https://lnkd.in/gJrMsxvu #regulatoryconsultancy #UAE #FCA #DIFC #ADGM #regulatoryframework

❓Balancing tactical vs. strategic approaches: What are the questions firms need to consider when transitioning from a legacy environment to a strategic flexible reporting operating model? ❓What role do cloud and SaaS solutions play in improving agility and flexibility; how do you decide when to use cloud vs. on premise and keep in mind security considerations? ❓Working with vendors: what should you look for in a technology partner; what is key to successful partnership, what are the pitfalls to avoid? Join us on November 21st, for RegTech Summit New York, featuring this panel discussion on how to build a flexible and agile reporting platform to meet future requirements. We'll hear from: ✅Moderator: Dessa Glasser, Independent Board Member, Oppenheimer & Co. Inc. ✅Joshua Beaton, Head of Non-Financial Regulatory Reporting (NFRR), Wells Fargo ✅Murali Duvapu, Data Governance Executive, Scotiabank ✅Sid Kapur, Vice President, PJT Partners ✅Elena Unciuleanu, Founder & CEO, Reporting Center Get more details and register: https://lnkd.in/gZhJ83Q3 #RTSNYC #regtech #regulatoryreporting #cloud #SaaS #governance #frameworks #APIs #plugandplay #tacticalvstrategic

FinScan, an Innovative Systems Solution AML Compliance solution has rolled out new perpetual KYC (pKYC) capabilities to bolster financial institutions’ ability manage evolving regulatory challenges and combat financial crime. Details: https://lnkd.in/gwPhFPC8 #AML #compliance #pKYC #financialcrime #regulations #adversemediascreening #documentvalidation #riskscoring

RegTech Summit New York 2024 - Sponsor Spotlight 🔦 Platinum Sponsor Smarsh enables companies to transform oversight into foresight by surfacing business-critical signals in their digital communications. Regulated organizations of all sizes rely upon the Smarsh portfolio of cloud-native digital communications capture, retention, and oversight solutions to help them identify regulatory and reputational risks within their communications data before those risks become fines or headlines. Smarsh serves a global client base spanning the top banks in North America, Europe, and Asia, along with leading brokerage firms, insurers, and registered investment advisors and U.S. state and local government agencies. Find out more about their innovative solutions here: https://lnkd.in/gW5Tjfhz ...and be sure to chat with them on November 21st at RegTech Summit New York; register: https://lnkd.in/gy3kxZnZ #RTSNYC #regtech #

STP Investment Services has introduced STP ComplianceAdvisor, a new practice aimed at providing comprehensive compliance solutions for investment firms. Get the details: https://lnkd.in/gUdTmp4s #compliance #investmentadvisory #regtech STP Investment Services

'Enhancing our National Asset: Maximising the Value of Data Collections Across the Financial Sector' - Keynote from James Benford, Executive Director for Data and Analytics Transformation and Chief Data Officer, Bank of England at RegTech Summit London: https://lnkd.in/gM2_TVx2 #RTSLDN #regtech #datacollections #AI #data

❓What are the optimal approaches for keeping up with regulatory change and obligations for AML regulatory compliance? ❓What approaches are firms taking to keep up with the regulatory expectations from the new Beneficial Ownership Rules? ❓Where are firms on their journey of harnessing data to provide a single view of a customer, throughout the life cycle of the relationship? ❓Progress towards perpetual KYC: what has been done and what’s left to do? This panel - Addressing financial crime and AML with RegTech - will answer these questions and more at RegTech Summit New York on November 21st. We'll hear from: ✅Moderator: Alex Ford, Co-Founder, Women in RegTech New York ✅Krishna Nair, Head of AML, KYC, Electronic Communication, Trade Compliance Technologies, MUFG ✅Kai Schrimpf, Head of Monitoring and Screening Controls, Morgan Stanley ✅Joseph Sabelja, Generative AI Firmwide Platform Lead, J.P. Morgan ✅Chandrakant Maheshwari, FVP, Lead Model Validator, Flagstar Bank https://lnkd.in/dbpVNb36 #RTSNYC #regtech #AML #financialcrime #regulatorychange #compliance #Beneficialownership #clientlifecycle #pKYC #KYC #AI #LLMs #fincrime

The long-running consolidated audit trail (CAT) project has been a major industry achievement but with a compliance deadline rapidly approaching, exemptive relief on some particularly complex reporting issues is due to expire in February 2025: https://lnkd.in/g2BB_MhS #CATreporting #ION #Fidessa #portleveldefaults #databases #SEC ION Fidessa

🚀The Evolution of Moore's Law: More Valid Than Ever🚀 In my recent keynote at the Regtech Summit London, I reflected on the enduring relevance of Moore’s Law. While the traditional doubling of transistors every two years remains a key driver, technology has evolved, and we’ve found new ways to push performance even further. Rapid #AI advancements are a perfect example of how Moore’s Law still applies today, powering exponential growth. But what’s even more exciting is what lies ahead. When quantum computing becomes mainstream, it will make today’s AI breakthroughs seem small in comparison. However, like all technological advances, it brings both immense potential and new risks. At Smarsh, we help organisations stay ahead by leveraging these technology advancements to enhance compliance and data management, ensuring regulatory adherence and protection of sensitive information. #MooresLaw #QuantumComputing #Regtech #FinTech #RTSLDN RegTech Insight, from A-Team Group