Governance
Managing regulatory transformation through a Dual-Flow Operating Model
Darshan Shah presents an operating model that enables project teams to implement complex regulatory programs, preserve business continuity, reduce risk, and prepare enterprise platforms for regulatory change.
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.
AI won’t stay in its risk category
For the first time, JP Morgan filed a form 10-K listing AI as a standalone risk factor—a sign of how banks are rethinking previously defined risk categories and their overall risk profile.
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.
FactSet’s vectorization service aims to improve agent accuracy
FactSet chief AI officer Kate Stepp discusses the importance of having AI-ready data in the agentic era.
Bootcamps and peer pressure: Goldman preps staff for AI future
The tone from the top is not enough, says chief information officer Marco Argenti.
Northern Trust details its AI strategy
CEO Michael O’Grady says the firm’s strategy is anchored in hyper-personalization, AI-generated alpha, and infinite scalability.
The rise of AI politics
Whether they like it or not, firms are operating in the era of AI politics. David Hardoon says those who ignore that and treat AI as just another technology risk losing ground to others.
Blue water rafting: How RBC’s AI Group is navigating the AI rapids
After forming its new AI Group, RBC is building a governance layer to help minimize risks posed by agentic AI.
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.
Fintechs grapple with how to enter Middle East markets
Intense relationship building, lack of data standards, and murky but improving market structure all await tech firms hoping to capitalize on the region’s growth.
‘The end of the beginning’: Brown Brothers Harriman re-invents itself
Voice of the CDO: Firms who want to use AI successfully better start with their metadata, says BBH’s Mike McGovern and Kevin Welch.
50% of firms are using AI or ML to spot data quality issues
How does your firm stack up?
Moody’s exploring blockchain’s impact on digital bond ratings
Blockchain and crypto were meant to eliminate conventional finance’s risks, but Risk Live North America panelists said such risks have not been reduced, and new ones have been introduced.
Banks weigh how to embed GRC in AI
Having governance, risk, and compliance at the core of AI product development will offer explainability and auditability, bank execs said.
Is 2027 the new 24-hour trading target?
Slew of technical issues and dearth of SEC staff compound exchanges’ reluctance for round-the-clock equity trading.
Waters Wavelength Ep. 327: Standard Chartered’s Mo Rahim
He joins the podcast to discuss data and AI governance and guardrails for AI.
Generative AI brings testing times for modelers
Flagstar’s lead model validator offers some tips for safely integrating LLMs into risk models.
The art of communication: Data pros need better messaging
As the CDO of a tier-one bank puts it, when there’s an imbalance in communication between the data organization and the business (much less other technology heads) “that creates problems.”
Northern Trust offers internal fund accounting, data tools to clients
Regulations and a mandate to enhance quality and transparency in a bid to improve the investor experience are pushing buy-side firms to have more oversight of their third-party providers.
$135.6m fines prompt Citi to modernize infrastructure, controls
The bank was hit with a combined $135.6 million fine on Wednesday for failing to resolve “longstanding internal controls and risk issues,” amid continued internal work across the enterprise.