Compliance

Mind Your Language: Surveillance Systems Tackle Conduct Risk

While advanced voice analytics technologies have been around for years, banks have often used them as a blunt instrument, or a regulatory checkbox. Now they are increasingly seeing them as useful tools for managing conduct risk and employee protection…

The New Guard: Ryusuke Yokoyama, JPX

Ryusuke Yokoyama sits down with Wei-Shen Wong to discuss his three-decade career at the TSE and JPX, how the exchange is looking to help the industry improve its settlement cycles and how the company is experimenting with blockchain and AI technologies…

Illuminated Data: SFTR May Reach Too Far

While waiting for the regulators’ final word on SFTR’s technical specifications, SFT market participants and counterparties are planning their compliance strategies amid concern that the regulation goes too far in its goal to bring shadow banking into…

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