The pace of digital transformation in most investment firms quickened significantly at the onset of the pandemic, as work-from-home orders led firms to facilitate and extend remote working for staff....
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The pace of digital transformation in most investment firms quickened significantly at the onset of the pandemic, as work-from-home orders led firms to facilitate and extend remote working for staff....
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A black swan is a rare phenomenon in nature and one that lends its name to once-in-a-generation, severe, unexpected events for that reason. The last few years, however, have seen...
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Surveillance – specifically trader surveillance – in financial services institutions remains an area of focus for Compliance professionals in 2023. Generally comprising a combination of trade and communications (voice and...
Read MoreSurveillance – specifically trader surveillance – in financial services institutions remains an area of focus for Compliance professionals in 2023. Generally comprising a combination of trade and communications (voice and...
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The first line of defence – ‘the business’ in the 3LoD model – is witnessing a digital transformation of risk management and governance that has accelerated since the onset of...
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Surveillance is high on the agenda for most financial services’ compliance teams. Despite extensive work done in this space, many firms still find their surveillance processes insufficient compared to the...
Read MoreSurveillance is high on the agenda for most financial services’ compliance teams. Despite extensive work done in this space, many firms still find their surveillance processes insufficient compared to the...
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For many years now, public and regulatory interest in misconduct by individuals within financial services firms has been high and shows no signs of abating in the current climate.
Under MAR and MiFID II, firms are required to detect and report unlawful behaviour in a timely manner by putting preventative measures and solutions in place. To achieve compliance, first and second line surveillance functions need to be created that provide more holistic, forward-facing surveillance solutions.
Artificial Intelligence (AI) has been popularised in fiction for decades, but it wasn’t until the mid-1950’s that the concept of Machine Learning (ML) was introduced to develop efficient AI algorithms.