Compliance
Kalshi recruits TradFi partners for institutional build-out
The prediction market has inked partnerships with Tradeweb, BMLL, and others as it aims to give institutions familiarity in an emerging market.
The complexity of using AI to tackle compliance
The Waters Wrap: Law firms are introducing new tools to help with regulatory compliance, potentially encroaching on regtech vendors’ territory, Wei-Shen writes.
EDMA begins rollout of AI certification framework
The EDM Association is expanding its CDMC framework to include analytics and AI.
MUFG builds internally compliant version of Claude Code
Japanese bank says Anthropic’s coding and productivity tool is effective at obtaining information but bucks compliance guardrails, prompting the creation of an in-house alternative.
Tale of two halves: Agentic AI and the coming capital markets reckoning
Firms that have built robust rails will be better placed to scale agents safely and improve productivity. Those that don’t will learn a hard lesson, says Andrew Morgan.
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.
Hitting the Great Wall: Details scarce on China’s Xinchuang initiative
In a quest to learn more about China’s Xinchuang initiative, Wei-Shen finds trying to get information feels like running into a wall over and over again.
Symphony introduces agentic workflows to core platform
Through the new AI agent studio, firms will now be able to build their own AI agents within the Symphony platform.
Market participants voice concerns as landmark EU AI Act deadline approaches
Come August, the EU’s AI Act will start to sink its teeth into Europe. Despite the short window, financial firms are still wondering how best to comply.
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