AI in Compliance Recording: Five Questions Firms Need to Answer Now
Capital‑markets firms now face a sprawling communications landscape that includes voice, chat, collaboration tools and mobile channels, forcing them to rethink compliance recording beyond simple retention. A‑Team’s whitepaper outlines five critical questions, from full‑channel capture and AI‑ready architecture to moving past static lexicons toward contextual analysis. It also highlights how a well‑governed archive can generate operational intelligence, not just regulatory evidence. The piece stresses that AI’s benefits depend on data quality, explainability and human‑in‑the‑loop controls.
Why an AI ‘Kill Switch’ Is Harder Than It Sounds
UK MPs have tabled an amendment to the Cyber Security and Resilience Bill that would give the Secretary of State authority to order the shutdown of data centres or AI systems in an emergency, though the proposal has not yet...
Don’t Misread a Shift in Regulatory Tone – Global Relay
U.S. regulators, under new SEC and CFTC leadership, are moving away from aggressive off‑channel communications sweeps and focusing enforcement on conduct that directly harms market integrity, investors, or involves fraud and manipulation. While the tone appears softer, the underlying record‑keeping...
Delta Capita Report Hub Extends Controls Into Post-Reporting Assurance
Delta Capita has completed the full integration of its Report Hub platform, migrating legacy reporting jurisdictions and DTCC portal access into its broader post‑trade services suite. The company is now promoting a managed‑services model that handles data preparation, submission, and...
CFTC’s Selig Sets Out Agenda for Leaner Rules and Faster Markets
CFTC Chairman Michael Selig used his ISDA keynote to push for a slimmer, more proportionate derivatives rulebook, ending reliance on temporary no‑action relief and tightening SEC‑CFTC coordination. He highlighted the need for clear, final rules on swap reporting, materiality thresholds,...
SEC and CFTC Recalibrate Private Fund Reporting for Systemic Risk Oversight
The SEC and CFTC have proposed a major overhaul of Form PF, raising the general filing threshold from $150 million to $1 billion in assets under management and lifting the large hedge‑fund adviser threshold to $10 billion. The changes would drop many smaller...
FCA Market Soundings Review Puts Pre-Deal Controls Under Scrutiny
The FCA’s multi‑firm review examined 63 UK equity capital‑market transactions from January 2023 to June 2025, including fifty accelerated book‑builds (ABBs) worth roughly £32 billion (≈ $40.6 billion). About 90% of the deals employed market soundings, confirming the practice as a standard pre‑announcement tool. The...
RepRisk Roundtable London: Tackling Hidden Sustainability Risk in Private Markets with AI
RepRisk is sponsoring a Sustainability Breakfast Roundtable in London on June 11, 2026, aimed at senior risk, investment, compliance and sustainability leaders. The event will explore how trustworthy AI can improve risk identification, boost visibility into private‑market exposures, and scale...
Waystone Positions ManCo Platform as Infrastructure for Global Fund Expansion
Waystone’s regulated fund business, overseeing about 1,550 funds with roughly $450 billion in assets, is positioning its ManCo and ACD platform as a global infrastructure for asset‑manager expansion. The model lets firms launch funds across Europe, the UK and emerging markets...
Sumsub and ComplyAdvantage Deepen AML Screening Partnership as Compliance Demands Rise
Sumsub and ComplyAdvantage have deepened their partnership by embedding ComplyAdvantage’s Mesh intelligence layer directly into Sumsub’s verification and monitoring platform. The integration adds real‑time sanction and watch‑list updates—delivered within minutes—and a Bring‑Your‑Own‑Key option that lets clients connect their own Mesh...
US ESG Pullback Opens a New Competitive Question
The U.S. is retreating from mandatory sustainability disclosure as the SEC abandoned its defense of federal climate‑disclosure rules in March 2025 and the White House issued an executive order curbing ESG‑focused proxy advisers. State‑level actions, exemplified by Vanguard’s February 2026...
FinCEN Overhauls AML and CFT Rules with a New Effectiveness Standard
FinCEN issued a sweeping Notice of Proposed Rulemaking that replaces its July 2024 AML/CFT framework with an effectiveness‑based standard. The proposal mandates a continuous, structured risk assessment tied to the agency’s National Priorities and shifts compliance measurement from paperwork volume to...
Canoe and Bloomberg Advance Portfolio Analytics and Risk Workflows with Private Fund Data
Canoe Intelligence and Bloomberg have launched a certified integration that automates the delivery of private‑fund data into Bloomberg PORT Enterprise. The solution extracts, normalizes and loads cash flows, positions and holdings using FIGI identifiers via secure FTP, eliminating manual entry....
ISDA Taps Gentek AI for DRR Traceability Tool
The International Securities Swaps and Derivatives Association (ISDA) has appointed Gentek AI to develop a traceability tool for Digital Regulatory Reporting (DRR). Gentek will adapt its existing attribution and retrieval engine to let users track the full history of DRR...
Enforcement Targeting Weak Control Design – The GRC Fault Line
Regulators are intensifying scrutiny of governance, risk and compliance (GRC) frameworks, targeting weak control design rather than mere documentation. Recent enforcement actions include the FCA fining Dinosaur Merchant Bank for $3.05 billion of CFD trades that escaped automated surveillance, ASIC imposing...