Tag: financial services compliance
How to stress-test a compliance archive before regulators do
Communications archiving has transformed from a back-office checkbox into one of the most fiercely contested battlegrounds in regulated technology this year. Twelve months ago,...
Why explainability is the next frontier in compliance
The compliance function in financial services has undergone a quiet but significant transformation. Where once the focus rested on having controls in place, regulators...
Fragmented compliance data is costing banks more than they think
For many financial institutions, a close look at their regulatory obligations register reveals an uncomfortable picture: duplicate entries, outdated language, obligations assigned to teams...
From fragmented tools to unified compliance oversight
Across the financial services industry, a quiet but consequential shift is under way. Firms are moving away from the patchwork of disconnected compliance tools...
Why vertical AI is winning the compliance race
In June 2023, New York attorney Steven Schwartz submitted a legal brief to a federal court in Manhattan citing six cases that simply did...
How Sherlocq is fixing compliance’s $300bn research problem
The compliance profession has a productivity crisis hiding in plain sight. Financial institutions and regulated businesses together spend more than $300bn annually on compliance,...
The hidden compliance bill of outdated voice recording systems
Financial organisations clinging to ageing voice recording infrastructure may believe inaction is the safe option — but independent research published in 2026 suggests the...
Audit trails, approvals and the end of Excel-era risk
Regulators no longer accept a firm's word that its financial crime risk governance is sound. Today's supervisors expect to see the architecture behind every...
Theta Lake’s new patent targets ASR errors in FinTech
Theta Lake has been awarded a United States patent — US 12,045,561, System and Method for Disambiguating Data to Improve Analysis of Electronic Content...
DORA compliance: closing the gap between contract and exit
Most financial institutions assume their exit obligations under the Digital Operational Resilience Act (DORA) are satisfied the moment a contract contains termination rights and...
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