Compliance
EU AI Act leaves agents in regulatory limbo
A new paper published by AI ethicists draws attention to a hole in the EU AI Act surrounding high-risk agentic systems.
Brad Levy takes the reins at ThetaRay
The now-former Symphony CEO is looking to expand the financial crime monitoring company’s global footprint.
Brokers must shift HFT servers after China colocation ban
New exchange guidance drives rush for “proximity colo” in nearby datacenters.
Risk managers question US reach of Dora third-party list
Some EU subsidiaries included, but regulator control over cloud providers could still be limited.
Waters Wavelength Ep. 342: LexisNexis Risk Solutions’ Sophie Lagouanelle
This week, Sophie Lagouanelle, chief product officer for financial crime compliance at LNRS, joins the podcast to discuss trends in the space moving into 2026.
CME, LSEG align on market data licensing in GenAI era
The two major exchanges say they are licensing the use case—not the technology.
DTCC revamps tech abilities following global reporting overhaul
The Repository & Derivatives Services unit is implementing new technologies to help its clients keep up with changing reg reporting regimes.
Digital assets: A delicate balance between opportunity and risk
The SIX Digital Assets Regulatory & Tax Service is designed to unify fragmented data sources and provide clarity around digital assets.
Is market data compliance too complex for AI?
The IMD Wrap: Reb looks at two recent studies and an article by CJC, which cast doubt on AI’s ability to manage complexity.
Compliance startup bolsters advisory board, finalizes Series A funding
Umony has added former compliance officers from JP Morgan, as well as the FCA and the SEC.
The SIX Digital Assets Regulatory & Tax Service—Simplifying regulatory compliance
SIX‘s Digital Assets Regulatory & Tax Service is designed to simplify regulations and tax directives governing digital assets, making regulatory compliance more straightforward
Trust though transparency: The need for explainable AI
In this guest column, Broadridge’s Mary Beth Sweeney tells the story of BondGPT’s creation and the company’s endeavor to ensure that any user inquiries are met with traceable answers from the service.
Sell-Side Technology Awards 2025 winner’s interview—S&P Global Market Intelligence Cappitech
S&P Global Market Intelligence’s enduring success in the Best sell-side compliance product category
Texting trials, or ‘The case of the costly Cubans’
The IMD Wrap: This week, featuring my colleagues as guest stars, I put myself in the shoes of a communications compliance officer at an asset manager, and look at what happens when messages go awry.
AI’s next gig: The rising cost of off-channel communications compliance
As the cost of analyzing communications increases, what tools can firms deploy to save time and money while avoiding penalties?
Technical and regulatory questions surround Europe’s T+1 move
The EU roadmap mirrors the UK’s goal of an October 2027 move. With more than two years to prepare, firms must consider how to implement the non-prescriptive guidelines and weigh where to automate.
GenAI too risky for collateral processes
The technology has been heralded as game-changing for other areas of finance, but its potential to hallucinate may disqualify it from sensitive settlement procedures.
Numerix strikes Hundsun deal as China pushes domestic tech
The homegrown tech initiative—‘Xinchuang’—is a new challenge for foreign vendors.
SEC pulls rulemaking proposals in bid for course correction
The regulator withdrew 14 Gensler-era proposals, including the controversial predictive data analytics proposal.
Mastering regulatory compliance through reliable data access
Firms continue to struggle with regulatory updates and sourcing accurate data
Trading venues seen as easiest targets for Esma supervision
Platforms do not pose systemic risks for member states and are already subject to consistent rules.