Tag: Regulatory Risk

Legacy voice data migrations are becoming one of the most expensive and under-estimated risks facing regulated organisations. Outdated call recording systems may appear harmless,...

False negatives are emerging as one of the most dangerous blind spots in AI-driven compliance systems. While much of the attention has historically been...

In today’s complex investment environment, geopolitical risk has evolved from being an occasional disruptor to a permanent feature shaping financial markets. For long-term investors such...

Regulations are designed to protect markets and ensure stability. They aim to build trust, mitigate risk and bring clarity to an increasingly complex financial...

Europe’s payments market remains a patchwork of national regulations despite ongoing moves towards harmonisation. For FinTechs and other payment firms, this fragmentation creates major...

Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are...

Global sanctions inflation may be easing, but compliance teams should brace for ongoing challenges in 2025. LSEG’s latest Global Sanctions Index (GSI), based on data to March 2025, reveals that while the growth in the number of sanctioned individuals is slowing, broader risk trends—like regulatory divergence and complexity—are likely to persist or intensify.

Corlytics has become the first dedicated RegTech company to achieve ISO/IEC 42001:2023 certification, marking a major milestone in AI governance for the financial technology sector.

New research from LSEG reveals that financial institutions and designated non-financial businesses and professions (DNFBPs) are increasingly struggling to manage compliance risks due to...

A robust compliance program is fundamental for any firm in the financial sector, serving as the mainstay of its operational integrity. At the heart of a successful compliance strategy lies a profound comprehension of the firm’s business model and the foresight to adapt to any potential shifts in business practices.